Approved IAR CE Courses

This course, Code of Ethics and Professional Responsibility, acknowledges the elevated standards of conduct that are expected of Professionals. It explores and highlights the practical application of the important areas that are fundamental components of ethics. It acknowledges and includes examination of professional conduct, behavior, and sound practices in working with individual clients as well as adhering to high standards for the benefit of maintaining a positive and professional perception within the population as a whole. It also highlights ethical philosophy and everyday guidelines that are fundamental components of the ethical mission and objectives.
The material has been constructed to provide the aspiring, the newest, and the veteran insurance professional with a format for gaining new and renewed insight into this critical area for professional financial advisors as well as serving as a review of the current information and rules pertinent to this area of overall competency, professionalism and expertise.

This course will address Code of Ethics obligations and practical supervision of personal securities transactions and holdings reports. It will focus on compliance procedures, reporting obligations, ethical considerations, review practices, common risk areas and testing techniques for advisory firms.

This comprehensive continuing education course provides investment advisers with an in-depth examination of ethical principles, fiduciary responsibilities, and regulatory compliance requirements governing the investment advisory profession. The course explores the foundational concepts of investment adviser ethics established under the Investment Advisers Act of 1940 and their practical application in modern advisory practice.Participants will develop a thorough understanding of fiduciary duty requirements, including the duty of loyalty and duty of care, and learn to identify, disclose, and manage conflicts of interest effectively. The course emphasizes practical application through real-world scenarios, case studies, and current regulatory enforcement trends. Special attention is given to emerging challenges in the digital age, including technology considerations, cybersecurity requirements, and evolving client communication standards.

This 9750-word document optimized for continuing education (DOCE®) analyzes the SEC proposal for semiannual reporting, giving perspective to investment fiduciaries. It explains how Form 10-S could change public-company disclosure cadence. Learners review comment-file findings, including 479 opposing letters and 10 supportive letters. The class connects the rulemaking to fiduciary monitoring by portfolio managers and investment advisers to retail and institutional investors as well as retail investors, and members of investment clubs. The proposal would create information gaps that heighten investment risk and increase opacity of public companies, making its potential adoption an urgent and important topic for fiduciaries to alert clients about. It gives fiduciaries practical tools for client conversations, committee discussions, community outreach and fiduciary advocacy.

This educational program, led by compliance lawyer Michelle Atlas-Quinn, provides a comprehensiveguide for understanding and addressing critical compliance issues. The program is structured into four parts: Understanding SEC and NASAA Examinations, Key Compliance Deficiencies, Practical Compliance Strategies and practical strategies for implementing effective compliance controls.Overall, the program aims to equip Investment Adviser Representatives with the necessary knowledge and tools to navigate and adhere to compliance requirements effectively.

Financial advisors will inevitably work with clients facing turbulence related to their finances, whether it is a personal job loss or stress about a market downturn. In these situations, financial advisors might attempt to act as rationally as possible and encourage their clients to do the same. However, because the human brain is not wired to move between stress and rationality quickly, such an approach could backfire, and the client could feel as though their concerns are not being heard by their advisor.At this Kitces Monthly Webinar, join licensed clinical psychologist Barbara Kay as she discusses the neuroscience of anxiety, techniques advisors can use to communicate with a client facing stress, and potential pitfalls to avoid when working with clients during turbulent times.

Virtually everything we say or do communicates some message. Therefore, communication with the public must be understood as more than just letters and telephone calls, but also as newspaper and magazine advertisements, commercials on television and radio, as well as signs, billboards, circulars, and much more. In short, we must understand all the many different ways that information can be communicated from one person or group to another. To help agents in this understanding, Communications with the Public examines, in detail, the rules and regulations that registered representatives must abide by when communicating with customers. Every method used to interact with customers, whether they are form letters, research reports, telephone recordings, or telemarketing scripts, is subject to specific rules that govern communications with the public.

This course addresses FINRA Rule 2210 and the principles-based communications framework that governs how member firms communicate with the public. As highlighted in FINRA's 2026 Annual Regulatory Oversight Report, communications with the public remains a persistent area of examination focus — with particular emphasis on inadequate supervision of social media influencers, false or misleading information in mobile apps and digital channels, and failures in electronic communications review processes.

Developed in alignment with FINRA's 2026 Annual Regulatory Oversight Report (Communications and Sales — Communications with the Public topic), FINRA Rule 2210, FINRA Rule 2220 (Options Communications), and MSRB Rule G-21, this course equips registered representatives, investment adviser representatives, compliance professionals, and supervisory personnel with the knowledge to classify communications correctly, apply content standards, fulfill supervision and recordkeeping obligations, and address the unique challenges posed by digital channels, social media influencers, mobile applications, and GenAI-assisted communications.