Approved IAR CE Courses

Municipal bonds play a vital role in public finance and in the portfolios of income seeking investors. Understanding the various types of municipal bonds is essential for any adviser hoping to make sound, suitable recommendations to clients. This study guide is designed to introduce the fundamentals of municipal securities, demystify common structures and terminology, and provide context for yield, pricing, taxation, and risk. It also ties in regulatory considerations and client suitability, helping advisers uphold their fiduciary duties while navigating the complexities of this asset class.

This course will focus on the fundamental characteristics of mutual funds and a discussion of the role of the Board of Directors, the advantages of mutual funds, and the terminology used by mutual funds.The process through which an investor purchases and redeems mutual funds will be reviewed. Thecourse will describe how shares are continuously issued as new and not traded on an exchange.The course will examine how mutual funds distribute shares to investors and methods of assessingsales charges, including front-end, deferred, and 12b-1 fees. The process of calculating sales charges and the ability to reduce front-end charges will be explained. The different types of mutual fundsand their objectives will be reviewed to provide the reader with an understanding of howto determine which funds will best meet investor goals.

Mutual funds have long served as one of the most accessible and popular investment vehicles for individual investors. For investment advisers'whether newly registered or seasoned professionals'they remain a central component in portfolio construction, risk management, and in helping clients achieve their goals. This study guide is designed to help investment advisers develop'and demonstrate'a deep understanding of mutual fund mechanics, expenses, and regulatory expectations. Whether you are just beginning your advisory career or seeking to strengthen your compliance program, this guide will provide:- A refresher on mutual fund structures and terminology- A breakdown of share classes, costs, and fee arrangements- Guidance on aligning fund selection with fiduciary obligations- Real-world case studies and enforcement examples- Tools to document and disclose fund recommendations properly

This course examines the history of NASAA and the regulator framework that applies to both broker-dealers and investment advisers. By analyzing the Uniform Securities Act and various model rules and statements of policy, readers will gain an understanding of the importance of state securities laws. Through the use of case studies, the rules regarding the protection of senior and vulnerable investors as well as using appropriate professional designations will be described. The course will also examine the ethical obligations and fiduciary duties of investment advisers and their representatives.

This class is designed for CFPs, CPAs, and Registered Investment Advisors who manage money professionally and act as fiduciaries.It focuses on equipping financial professionals with insights into key economic trends and data that shape investment strategies.Participants will explore topics like the recent surge in U.S. worker productivity, the strength of job formation, and the implications of rising household net worth on consumer spending and GDP growth.Additionally, the course delves into retail sales trends, housing market signals, and inflation moderation to provide a comprehensive understanding of the current economic landscape. By synthesizing these insights, advisors can better navigate complex financial environments and enhance their decision-making for clients.

This course provides a comprehensive and practical exploration of the hedge fund industry for financial advisors and investment adviser representatives (IARs). Through a combination of foundational instruction and manager case studies participants will build a working knowledge of hedge fund structures, strategies, operational oversight, and client suitability considerations. The course also addresses evolving market dynamics, regulatory developments, and fiduciary responsibilities when assessing hedge fund investments. By the end, advisors will be better equipped to evaluate hedge fund offerings and articulate the potential portfolio role and risks of various hedge fund strategies in a client-appropriate, transparent manner.

This course provides Investment Adviser Representatives with a foundational and practical understanding of private credit within the broader alternative investment landscape. It covers key regulatory thresholds, core fund structures (such as BDCs, interval funds, drawdown vehicles, and evergreen funds), and the primary risks and fees associated with private market investments. The program emphasizes fiduciary duties, ethical obligations, and compliance considerations when recommending or managing private credit strategies. Through online and in-person components, participants will also explore documentation best practices, conflict management, and suitability assessments to ensure client-centric outcomes. The course is designed to help advisers engage confidently and responsibly in the growing private credit space.