Approved IAR CE Courses

The course will examine the history of ERISA, the reason it was created, and the regulations that the act imposes on retirement plans. In doing so, the course will review the different types of retirement plans to which the regulation apply. The course will also discuss the Summary Plan Descriptions that have to be provided to plan participants and the Form 5500 reports that are required to be filed. This will conclude with how ERISA is enforced, some legislative changes that have occurred some that are pending, and the best practices for plan sponsors.

This course examines how environmental, social, and governance (ESG) considerations are transforming capital allocation and corporate conduct by providing a framework that extends beyond traditional financial metrics to evaluate organizational sustainability, ethics, and long-term value creation. Core definitions and materiality concepts are examined through detailed coverage of measurement methodologies, fiduciary duty, evolving regulations, and sector-specific case studies that spotlight both ESG success stories and high-profile failures. The focus is on enabling readers to recognize the importance of integrating ESG analysis into investment decisions, balancing short-term performance with long-term stewardship, and advising clients or organizations on strategies that align financial objectives with broader societal responsibilities.

The course will introduce environmental, social, and governance (ESG) investing. It will also outlineESG factors and what ESG investors look for when selecting investments, followed by a history of ESG investing. Included is a discussion of anti-ESG investing andlegislation designed to prevent using ESG investing in certain government investments. In the nextsection, the course will go over exisiting SEC disclosure rules. Students will learn how existing disclosure rules in the U.S. will impact ESG investors, including ESG funds. In the final section,the course covers an SEC rule proposal. Students will learn about how the proposal will impactboth ESG issuer and ESG funds.

This course will examine the basics of environmental, social, and governance (ESG) investing. To provide a rounded course, both the arguments made by ESG advocates and the arguments made by ESG critics will be included. The course will also analyze the SEC reporting requirements that apply to companies and how certain ESG-related disclosures can be found in Forms 10-K, 10-Q, and 8-K. The final section will describe the SEC's attempts to standardize ESG disclosures and the opposition to the proposed regulation.

This course introduces Environmental, Social, and Governance "ESG" factors as a topic area forthe financial services industry. While the term ESG has been used by investors and lenders asthey do their analysis before making investment decisions, it has taken on a broader meaning. Tomany, the term ESG now represents the ways in which businesses and those who invest in them are thinking about the longer-term sustainability of their firms, industries, and capitalism itself. Thiscourse explores these themes, provides learners with a basic understanding of core ESG concepts,and discusses ongoing debates in the field.

This session provides attendees with a practical introduction to employee stock ownership plans (ESOPs) as shareholder liquidity, diversification, and succession planning tools. We'll explore how leveraged ESOPs function, where they fit relative to traditional transition alternatives, and the tax, valuation, and cash‑flow implications for all stakeholders. In addition, a real‑world case study will highlight the applicability of these unique business transition strategies and the design considerations behind them. Advisors will gain a working understanding of ESOP mechanics, common structures (including partial ESOPs), and the circumstances under which an ESOP may align with a client’s long‑term planning, legacy, and risk‑management objectives.

This course provides investment adviser representatives with a practical and comprehensive understanding of Form ADV requirements under the Investment Advisers Act of 1940. Learners will explore key components of Parts 1, 2A, 2B, and Form CRS, examine recent regulatory developments, and apply lessons from real-world disclosure failures. The course emphasizes best practices in communication, documentation, and client transparency. Through case studies and application scenarios, participants will develop the skills needed to recognize red flags, support timely updates, and contribute to a culture of compliance.

It is entirely possible that you or a loved one will need to enter an assisted living facility, nursing home, or some similar type of housing. This type of care is extremely expensive, and requires informed planning to ensure that you can handle the financial burden. In the Essentials of Long-Term Care course, we cover how to plan for long-term care, the housing options available, how to pay for it, and several associated legal issues.