Approved IAR CE Courses

Attached

This course, based on the I Too Invest podcast episode Opportunities Abound in Protecting Marginalized Communities: Building Capacity, explores systemic barriers to financial access through the lived experiences of DEI consultant Theaston White. Learners will gain insight into how bias, leadership, and institutional practices impact marginalized communities. The course emphasizes inclusive client interactions, authentic leadership, and strategies for building generational wealth. It is designed for professionals in regulatory and financial sectors seeking to advance equity and inclusion in their work

This comprehensive course equips investment advisers with essential knowledge on key compliance requirements, including Form ADV disclosures, advisory contracts, communication standards, recordkeeping obligations, and supervision practices. Participants will learn current regulations, industry standards, and best practices necessary for maintaining effective compliance programs. The course provides practical guidance to help registered investment advisers (RIAs) meet their regulatory obligations and operate within regulatory frameworks.

This course will cover the importance of retirement planning as a fiduciary duty. Topics to be covered will include; retirement plans, life insurance, trusts, Social Security and Medicare. The importance of planning for taxes in retirement will also be covered.