Approved IAR CE Courses

This course applies fiduciary care and loyalty to the advisory relationship. It covers reasonable inquiry, product and account alternatives, costs, conflicts, full and fair disclosure, informed consent, scope, execution, monitoring, delegation, correction, and communications. Learners analyze actual incentives and client circumstances and distinguish a substantive client-interest decision from reliance on a label, signature, or generic disclosure.

This course provides a rigorous, practice-focused examination of the fiduciary duty as it applies to investment adviser representatives (IARs) under federal and state investment adviser law. The fiduciary standard is the bedrock obligation governing IARs' relationships with their clients — requiring that IARs act in clients' best interests at all times, manage and disclose conflicts of interest, and provide advice that meets both the duty of loyalty and the duty of care.

Developed in alignment with the Investment Advisers Act of 1940, SEC interpretive guidance (including the Commission Interpretation Regarding Standard of Conduct for Investment Advisers, June 2019), NASAA's IAR Model Rule competency framework, and CFP Board's Code of Ethics and Standards of Conduct, this course equips participants with the knowledge, frameworks, and practical tools to fulfill their fiduciary obligations across a wide range of client advisory scenarios.

The course is designed to satisfy the Ethics competency category for IAR CE credit under the NASAA CE Collaborative framework, and the General CE requirement for CFP® certificants under CFP Board's continuing education standards.

A practical course on the fiduciary obligations of investment adviser representatives, with emphasis on identifying, disclosing, mitigating, and resolving conflicts of interest. The course uses adviser-client scenarios to connect legal duties with ethical judgment and professional conduct.

This advanced continuing education course examines the ethical and professional responsibilities of investment adviser representatives, with an emphasis on fiduciary duty and its application in modern advisory practice. Topics include duties of care and loyalty, conflicts of interest, disclosure, compensation and fees, client relationships, communications and marketing, investment recommendations, protection of client information, cybersecurity, emerging technology and artificial intelligence, and ethical decision-making in complex situations. Practical examples and case studies are used throughout the course to help investment adviser representatives identify ethical issues, evaluate competing obligations, and apply fiduciary principles to real-world advisory situations.

This course provides investment adviser representatives with a fuller understanding of a keycomponent of their obligations to clients, the concept of a fiduciary duty. The course begins with alegal-historical examination of the development of fiduciary duties, such as the obligation not toengage in self-dealing and the corporate opportunity doctrine. The course covers the distinction between the duty of loyalty and duty of care. Fiduciary duties in specific contexts, such as discretionary accounts, trust accounts, retirement plans, and mutual fund management, are alsocovered. The course discusses the difference between the fiduciary standard for investment advisers and the Regulation Best Interest standard for broker-dealers, as well as the implicationsof multiple standards for dually registered firms. Emerging regulatory trends and landmarkcases related to fiduciary duties are discussed.

In a highly regulated profession built on trust, fiduciary duty isn't just a legal obligation - it's the foundation of ethical advising. Fiduciary Duty: Ethics and Compliance equips IARs with the practical knowledge to navigate today's ethical and regulatory landscape. This 1-hour course explores the SEC's guidance on the fiduciary standard, core duties of care and loyalty, conflict disclosure, and real-world case studies on ethical breaches. Learners will apply decision-making frameworks, understand the 'fiduciary funnel,' and strengthen their ability to align client-first values with day-to-day advisory decisions. Perfect for those committed to building long-term trust and minimizing compliance risks.

This comprehensive course provides registered investment advisers (RIAs) with essential knowledge of fiduciary obligations and ethical practices required in the financial services industry. Participants will explore the highest standard of care in equity and law, examining how fiduciary duty ensures investment advisers act in their clients' best interests while maintaining trust and integrity in the financial system.The course covers the legal and ethical foundations of fiduciary duty, practical applications of acting in clients' best interests, prudent investor standards aligned with modern portfolio theory, and suitability requirements specific to RIAs. Participants will also learn to identify, manage, and resolve common conflicts of interest while building ethical decision-making frameworks for their practice.

This course examines how an investment adviser representative's fiduciary duties of care and loyalty apply when clients ask about, hold, or allocate to Bitcoin. Participants work through applied scenarios: a near-retirement client's large allocation request; the choice among custody models (qualified custodian, multi-key arrangements, client self-custody) and how each affects adviser custody obligations under federal and state rules; an adviser's obligations after a third-party security incident affecting assets the adviser does not manage; and conflicts from personal digital asset trading and firm affiliations. Code of Ethics controls and Form ADV disclosure are covered as tools for managing those conflicts. No product, platform, or service provider is featured or endorsed. Instructor disclosure: the instructor is founder and CEO of a regulatory compliance consulting firm whose clients include registered investment advisers that advise on digital assets; an investment adviser owned by a co-owner of the course provider is a client of that firm. The instructor has no ownership in the course provider, and his firm is not an event sponsor.

This course examines the fiduciary relationship that IARs have with their clients, and how both the duty of care and duty of loyalty apply when acting as a fiduciary. Each component of making recommendations, as well as monitoring performance and handling conflicts of interest will be described. The course will analyze what constitutes adequate client disclosure, as well as the policies and procedures that should be in place to avoid unethical practices and regulatory violations.