Approved IAR CE Courses

Elder financial abuse doesn’t usually start with bad intentions. It often begins with someone trying to help. In this presentation, we walk through a real-world scenario where caregiving gradually turns into unmonitored financial control. We’ll highlight the key red flags across family dynamics, financial changes, and cognitive shifts that professionals often miss. Most importantly, we’ll give you practical ways to detect early warning signs, prevent risk, and protect both your clients and yourself. Because in this space, awareness is everything—and every professional plays a role in safeguarding seniors.

This course will present many of the current scams which bombard seniors, in the hopes that recognition and education will strengthen the walls which must be built around them. The course will cover this topic from possibilities to real-life examples of fraud and deception with a detailed discussion of topics such as guardianship as an abuse avenue. It will also look at what industry rules and regulations demand from each registered individual via the Senior Safe Act, FINRA Rule 2165 and amendments to Rule 4512. This course will endeavor to add another layer of protection for those who need it most; our seniors.

This course examines how to develop a system of professional ethics. The course begins by discussing how being a 'professional' - can bring greater respect and compensation, but with this designation also comes a higher standard of conduct. The course covers the the core principles of professional ethics, including honesty, fairness, and competence, as it applies to an IAR's job. Honesty must be used in communications about the IAR's credentials and business. Fairness is shown to be important in matters of disclosure, fees, confidentiality, and loyalty. Competence must underly a professional's credentials. The importance of using ethical principles when creating brochures, direct mailings, and business cards is also discussed. The course also goes over strategies for how how prospects can be ethically converted into clients. Finally, the course concludes with a discussion of the SEC's Form CRS (Customer/Client Relationship Summary) andthe 'conversation starters' that the SEC requires financial professionals to use to prompt pragmatic discussions between advisers and clients.

This comprehensive course equips investment advisory professionals with the knowledge and tools to develop and implement a robust Code of Ethics. It covers ethical decision-making, core principles, and practical strategies to foster an ethical culture and ensure compliance within their organizations.Course Description:Unlock the potential to transform your investment advisory practice with our in-depth course on "Developing and Implementing a Code of Ethics." This program is meticulously designed for investment professionals seeking to elevate their firm's ethical standards and foster a culture of integrity. Over the span of the course, you will gain comprehensive knowledge on crafting a robust Code of Ethics aligned with your organization's values and mission. Dive deep into ethical decision-making models, explore core principles such as integrity, objectivity, and confidentiality, and learn effective strategies for communicating and enforcing ethical standards internally.By engaging with practical modules that cover stakeholder involvement, customization of ethical codes, and the implementation of compliance systems, you'll acquire the tools to navigate complex ethical dilemmas confidently. The course also emphasizes the importance of training programs, monitoring mechanisms, and leadership's role in setting the ethical tone. Upon completion, you will be equipped to lead initiatives that not only ensure compliance with regulatory requirements but also enhance client trust and contribute to the long-term success and reputation of your firm in the competitive investment advisory industry.

This course is intended for investment adviser representatives, and provides an overview of the Wisconsin Division of Securities Administrative Code section 5.06 "Prohibited Conduct." Section 5.06 addresses dishonest or unethical business practices of investment advisers in Wisconsin, and contains 25 subsections. This course will review in detail each of these subsections, explain their purpose, and give examples of past enforcement actions taken by the Division against investment advisers who violated the rule.

As AI takes on more of the technical work in financial advising, the defining advantage shifts to advisors who can do what technology cannot: act as a guide. While the "mechanic" role, such as managing investments, insurance, and accounting, is increasingly augmented by AI, the human tasks of navigating uncertainty, managing change, and connecting emotionally with clients are becoming true differentiators.

This session explores the cognitive and emotional dimensions of financial decision-making and how advisors can recognize and respond to each in client interactions. We'll examine how to become more "empathetic," what a multi-dimensional definition of empathy reveals about the limits of technology, and how the emotional intelligence advisors bring to every client relationship. Advisors who understand how technology impacts their own EQ and lean into core human capabilities like storytelling and change management, will be best positioned to deliver guidance that is irreplaceably human.

This course explores how ethical obligations and regulatory expectations shape portfolio construction for investment adviser representatives. Topics include balancing client objectives with suitability standards, risk disclosure, and managing potential conflicts in model portfolio strategies.

This course is designed to present some basic details regarding digital assets, including theadvantages and disadvantages of this asset class. By providing background information and defining key terms, readers will gain greater insight into the digital asset market. The course will also cover the tax implications of using digital assets and the different positions taken by variousregulators as they apply their rules and regulations on digital assets.

This course provides a comprehensive, compliance-focused examination of the digital assets and crypto regulatory landscape, one of the fastest-evolving areas of focus for FINRA, the SEC, state securities regulators, and an increasingly urgent topic for CFP® professionals advising clients who hold, are considering, or have been harmed by crypto assets. As highlighted in FINRA's 2026 Annual Regulatory Oversight Report, member firms' nexus to crypto continues to generate significant examination findings across communications, supervision, AML, and customer disclosure obligations.

Developed in alignment with FINRA's 2026 Annual Regulatory Oversight Report, applicable FINRA rules (including Rules 2010, 2210, 3110, 3270, 3280, 3310, and 11870), the evolving federal and state regulatory framework for digital assets, and the CFP Board's Principal Knowledge Topics for Investment Planning and Professional Conduct & Regulation, this course equips registered representatives, investment adviser representatives, compliance professionals, supervisory personnel, and CFP® professionals with the knowledge to:

Understand the current regulatory classification of crypto assets

Navigate jurisdictional splits between the SEC, CFTC, and FINRA

Interpret recent legislative and regulatory developments including the GENIUS Act

Evaluate digital assets in the context of a client's financial plan

Identify FINRA examination findings and apply effective practices

Digital Assets & Web3: Compliance Considerations for RIAs provides investment professionals with the tools to understand, evaluate, and navigate the rapidly evolving world of digital assets. Through the chapter Navigating Digital Assets & Crypto, the course explores the unique characteristics of cryptocurrencies and other Web3 products, their associated risks, and the regulatory considerations shaping their use in advisory practices. Participants will learn how to assess suitability, mitigate compliance challenges, and align recommendations with fiduciary responsibilities when working with digital asset investments. This course equips advisers with practical strategies to responsibly incorporate emerging technologies into client portfolios while maintaining regulatory and ethical standards.