Approved IAR CE Courses

This class is designed for CFPs, CPAs, and Registered Investment Advisors who manage money professionally and act as fiduciaries.It focuses on equipping financial professionals with insights into key economic trends and data that shape investment strategies.Participants will explore topics like the recent surge in U.S. worker productivity, the strength of job formation, and the implications of rising household net worth on consumer spending and GDP growth.Additionally, the course delves into retail sales trends, housing market signals, and inflation moderation to provide a comprehensive understanding of the current economic landscape. By synthesizing these insights, advisors can better navigate complex financial environments and enhance their decision-making for clients.

This 4813 word analysis is based on a class entitled, Financial Advising Neurodivergence by Dr. Frank Murtha.

It is not a restatement of that class. It is not duplicative. Rather it is new information applying lessons from the transcript in practice. This class builds on learning objectives in Financial Advising Neurodivergence, the first in this series about neurodivergence.

Neurodivergence Advising In Practice offers practical steps practitioners can take with clients. It translates the Learning Objectives from Financial Advising Neurodivergence into advisor actions and repeatable processes that can be applied in client interactions.

The focus is on how communication, interpretation, and execution intersect in real-world advisory practice with respect to financial advising client neurodivergence.

The analysis helps put client behavior in context. Clients process information differently and may require more structured decision environments. Advisors learn to identify situations in which standard communication approaches may introduce risk. It helps practitioners identify where misunderstandings are likely to occur and proactively designs interactions to prevent them.

Throughout the class, concepts are translated into action steps. Each slide improves the likelihood that actions are understood and carried out effectively.

This approach reflects professional responsibility. Advisors are not to diagnose or categorize clients but are responsible for adapting processes to support informed decision-making by clients with neurodivergence.

The class specifies ways to reduce ambiguity, verify comprehension, and create conditions where clients can engage with confidence and act with clarity.

Recommendations to clients affected by neurodivergence should be communicated in a way that respects client differences while maintaining consistency, transparency, and accountability.

When communication, behavior, and execution are aligned, advisory work becomes more reliable, more client-centered, and more effective. Clients with neurodivergence are, thus, able to achieve better outcomes from financial planning advice.

The class for investment adviser representatives focuses on compliance with the SEC's marketing rule, particularly for performance advertising. Key topics include creating compliant performance advertisements, understanding and adhering to rules regarding hypothetical and actual performance, and ensuring that advertisements are fair, balanced, and substantiated. The course emphasizes maintaining policies, procedures, and records to avoid SEC enforcement actions and the complexities of creating performance composites versus using representative accounts. Practical advice on balancing marketing objectives with compliance requirements and managing resources effectively for performance advertising is also provided.

This course teaches financial professionals how to deliver insights that clients can hear, understand, and act upon during periods of market stress. Drawing on financial counseling principles and applied behavioral psychology, the program explains why client emotions often block rational decision-making and how advisers can ethically work through that resistance. Participants learn how framing, contrast, anchoring, and social proof influence client perception of risk, return, and long-term outcomes. The class emphasizes translating market data into real-life meaning that aligns with client goals and values. By the end of the program, advisers will be better equipped to communicate expertise in ways that strengthen trust, improve client outcomes, and reinforce fiduciary responsibility.

In this live, fact-finding conversation, Healthy Markets Association’s Tyler Gellasch, answers questions from Advisor4Advisors' Editor Andrew Gluck about the unusual confluence of financial-regulatory and market-structure changes occurring in 2Q2026. Drawing on experience cowriting the Voicker Rule and other key provisions of post-crisis financial legislation in the U.S. Senate and serving as counsel to SEC Commissioner Kara M. Stein, Gellasch is asked to rank the most urgent threats and explain their implications for investment fiduciaries. The discussion addresses reduced public-company reporting, weaker investor remedies, tokenized securities, stablecoins, hidden leverage, opaque derivatives, private credit, fragmented trading, regulatory independence, and federal-state jurisdictional gaps. Learners will apply a practical framework for product approval, due diligence, custody review, disclosure, portfolio limits, documentation, monitoring, and decisions to decline recommendations when investor protections are inadequate.

OpenAI Codex provides sudden acceleration of financial advisor productivity. It's a breakthrough.
Financial planners can use Codex to improve client outcomes by:
automating creation of spreadsheets
converting spreadsheets into textual analysis you can review and share with clients
converting portfolio reports data into personal updates on a financial plan
consolidating and analyzing data from disparate sources

This course, Supreme Court Rejects Key SEC Enforcement Method, examines the landmark Supreme Court decision that significantly curtails the SEC's ability to impose civil penalties through administrative proceedings. The course explores the ruling's constitutional foundation, particularly its reliance on the Seventh Amendment right to a jury trial, and its broader implications for financial professionals, regulatory agencies, and legal enforcement mechanisms. Participants will gain insight into how this decision reshapes SEC enforcement strategy, affects state regulatory agencies, and empowers defense attorneys in financial fraud cases. Additionally, the course discusses potential future legal challenges, including the possibility of further limitations on administrative enforcement across various federal and state agencies.