Approved IAR CE Courses

This one-hour course is designed for individuals who are involved in conducting, assisting and/orreviewing an investment adviser firm's annual compliance review. Although this course will delveinto the recent amendment to SEC Rule 206(4)-7, which mandates written documentation ofannual compliance reviews, it will also review the applicable requirements for state and federallyregistered investment advisers while offering insights and best practices for conductingcomprehensive reviews to ensure regulatory compliance and mitigate risks effectively.

This course is intended for investment adviser representatives and investment adviser firmcompliance staff members wanting to gain an understanding and implement a due diligence reviewprocess for service providers utilized by the firm to perform certain advisory functions. In October2022, the U.S. Securities and Exchange Commission (SEC) proposed Rule 206(4)-11, which wouldrequire SEC registered investment advisers to conduct both documented due diligence before hiring,and continued oversight of, third parties when outsourcing certain functions necessary to theadviser's provision of investment advice. The speaker will explain how the proposed Rule mayimpact investment adviser firms. The speaker will also discuss with attendees some of the bestpractices all investment adviser firms should currently have in place when performing due diligenceof service providers and the expectations of regulators. Equal attention will be given to the duediligence review process itself and what investment advisers should look for with each serviceprovider, including red flags, when performing such a review.

This course is designed to help investment adviser representatives, supervisory principals, compliance professionals, and firm executives understand the duty of care of an investment adviser registered with the U.S. Securities and Exchange Commission ("SEC") as relates to providing investment advice and recommendations. The speaker will review the components of the duty of care and specific examples of what constitutes failure to exercise duty of care.

As education costs and tax laws evolve, high-net-worth families are increasingly using 529 plans as more than college savings vehicles'they are powerful tools for estate planning and wealth transfer. This advanced session explores the emerging strategy of Dynasty 529 Planning, where families leverage long-term compounding, strategic gifting, and multigenerational beneficiary designations to build a lasting educational legacy while reducing estate tax exposure.Advisors will gain insights into how Dynasty 529s integrate with trusts, gifting strategies, and tax-efficient legacy planning, as well as how to apply the SECURE Act 2.0's Roth rollover provisions for unused funds. Compliance, documentation, and risk management best practices will also be covered, equipping advisors to confidently position 529s as part of a family's broader estate strategy.

This course provides financial professionals with a clear understanding of how oil and gas investments can create income, deliver meaningful tax advantages, and diversify portfolios. Participants will explore the global energy landscape, key market trends, and the legal and tax frameworks that make these opportunities unique. Through case studies and real-world examples, the course highlights how strategic structuring and due diligence can enhance returns while managing risk. Attendees will leave with practical insights into how energy investments fit into a broader financial strategy for clients seeking tax-efficient alternatives.

This presentation will equip financial planners with the knowledge and tools to help early retirees navigate the health insurance gap before Medicare eligibility. We'll explore key healthcare cost concerns, common misconceptions, and the various insurance options available, including COBRA, ACA Marketplace plans, and off-market alternatives. Attendees will also learn strategic financial planning techniques'such as optimizing income for ACA subsidies'to make health insurance more affordable. Through real-world case studies, interactive discussions, and actionable frameworks, advisors will leave with the confidence to integrate health insurance planning into their client conversations effectively.

This fast-paced update equips advisors with a practical playbook for todays mixed macro signals. Youll learn how to interpret soft versus hard data, translate construction and retail trends, and reconcile weak job formation with still.low unemployment. Independent economist Fritz Meyer shows why Boomer wealth and top.decile spending underpin consumption, while household balance sheets remain broadly healthy. Youll connect abundant liquidity to asset price strength and tie 2026 earnings estimates, market breadth, and valuations to client recommendations. Finally, youll align portfolios with the Feds path, a dis.inverting curve, and anchored inflation expectations to keep client plans on track.

This course provides financial professionals with an in-depth analysis of current economic conditions, market trends, and investment strategies. Participants will explore key economic indicators, including job formation, inflation trends, consumer spending, and the impact of tariffs on GDP growth. The course also examines stock market performance, earnings growth projections, and valuation metrics to assess investment opportunities and risks. Additionally, fiscal policy concerns, including the federal deficit and tax policy implications, are discussed to provide insight into long-term economic stability. By the end of the course, attendees will have a comprehensive understanding of the forces shaping financial markets and how to apply this knowledge to investment decision-making.

This course gives financial professionals a data-driven economic update focused on how advisors can use key indicators to guide practice decisions and client strategy. Through a structured review of services strength, housing stability, retail sales resilience, labor-market tightness, the wealth effect, and household debt metrics, the class explains how real-time trends shape consumer behavior and market expectations. The MP4 lesson walks advisors through GDP growth patterns, equity-market breadth, and forward earnings forecasts so they can better interpret signals that influence portfolio construction. Each segment connects economic research to practical planning applications, reinforcing the analytical approach required in today's fiduciary environment. By the end, participants gain a clearer understanding of how to apply economic data to improve decision-making, enhance client communication, and meet modern CE, CPE, and IAR CE standards.