Approved IAR CE Courses

The primary goal of the course is to teach students about an adviser's fiduciary responsibility and the requirement to create and implement a code of ethics. The course will also review some hypothetical situations and how advisers can handle them ethically. These situations include conflicts of interest regarding fees, explaining investment risks, trading authorizations, and ethical issues regarding initial public offerings (IPOs).

This course challenges financial professionals to go beyond simply following the rules by thinking critically about what it truly means to act in a client's best interest. Through real-world case studies, the course makes readers the decision-maker and walks them through a practical, step-by-step framework for resolving the ethical dilemmas that can arise in advisory work. For those interested in identifying the line between what's legal and what's right, this course will sharpen their instincts and strengthen the ethical foundation of their practice.

This foundational course begins with a look at ethical issues facing the securities industry,i.e., conflicts of interest, and briefly defines ethical standards and why they are important.This course covers the common types of conflicts, and the steps investment adviser(IARs) can take to prevent potential regulatory problems and sanctions as well as theassociated loss of client goodwill.

There are many ethical obligations surrounding the industry. It is up to the investment adviser, firm, and their associated persons to use common sense and ethical business judgment to determine whether a practice:
•is dishonest
•is unethical
•would take unfair advantage of a client
This course will examine these ethical obligations. 

This course examines the SEC's and FINRA's approach to how the ethical standards of the financial services industry apply to IARs. The focus will be to provide a brief description of each of the five standards as well as case studies offering examples how issues may arise in an IAR's daily activities.The course will also address different situations that have been the focus of SEC examinations, including the personal trading of access persons, the importance of distinguishing between privatesecurities transactions and outside business activities, and other topics.

In today's digital age, social media has become an indispensable tool for investment advisory professionals seeking to expand their reach, engage with clients, and enhance their brand presence. However, with great power comes great responsibility. Our comprehensive course, Ethical Social Media Marketing, is meticulously designed to equip financial professionals with the knowledge and skills necessary to navigate the complex landscape of social media marketing ethically and compliantly. Through a structured curriculum that spans regulatory frameworks, ethical principles, and the development of robust social media policies, participants will gain a deep understanding of how to effectively leverage social media platforms while adhering to stringent SEC and FINRA guidelines. From mastering honesty and transparency to safeguarding client confidentiality and managing conflicts of interest, this course provides practical strategies and best practices to ensure that your social media efforts not only drive business growth but also uphold the highest standards of integrity and professionalism.Our course is divided into three comprehensive modules, each featuring interactive content, real-world examples, and engaging quizzes to reinforce learning. Module 1: Regulatory Framework and Compliance delve into the essential SEC and FINRA regulations, ensuring that your marketing practices are fully compliant. Module 2: Ethical Principles in Social Media Marketing, focuses on building trust through honesty, transparency, and respectful communication, while Module 3: Best Practices for Transparent Communication, guides you in creating and implementing effective practices for your firm. By the end of this course, you will be empowered to create ethical, compliant, and impactful social media campaigns that not only attract and retain clients but also enhance your firm's reputation in the competitive financial services industry. Whether you are new to social media marketing or looking to refine your existing strategies, this course provides the essential tools and insights to succeed responsibly in the digital marketplace.

This course focuses on how ethics fit into the moral and regulatory framework ofinvestment adviser representative (IAR) regulations. Specifically, the course discusses insider trading, private securities transactions, personal trading accounts, agency cross transactions, and the ethical standards inherent in each. The trading practices alsoinclude recent SEC guidance and best practices as well as case studies that illustrate each.

This course examines how investment adviser representatives can ethically and responsibly use technology such as portfolio management tools and client communication platforms. It emphasizes the importance of fiduciary duty, cybersecurity awareness, and transparency when relying on digital systems in client advisory work.