Approved IAR CE Courses

Investment adviser representatives and chief compliance officers routinely face decisions in which client interests compete with revenue, loyalty to colleagues, confidentiality, and pressure from firm leadership. Through six integrated case studies, participants examine rollover and proprietary-fund incentives, billing correction, protection of vulnerable clients, online estate documents and gifts to an IAR, prediction-market use, artificial intelligence, marketing, and possible selling away. Participants apply a repeatable decision process, distinguish disclosure from substantive client protection, and develop a documented response from both the IAR and CCO perspectives. The course emphasizes the ethical reasons for professional obligations and the practical consequences of action or inaction.

This advanced text-only self-study course examines how investment adviser representatives protect clients
when organizational incentives, contested authority, uncertain evidence, and competing responsibilities
complicate professional judgment. Topics include accountability and escalation, supported client decisions,
suspected financial exploitation, dependency and professional boundaries, complaint investigations, equitable
remediation, speaking up, ethical supervision, succession fairness, public corrections, proportionate
monitoring, and integrated client-protection decisions. Original hypothetical cases require participants to
distinguish legal requirements from recommended ethical practices, evaluate competing interests, preserve
client agency, and select proportionate actions within appropriate authority. The course focuses on institutional
responsibility and client protection rather than repeating a foundational fiduciary course or teaching technical
product implementation

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.