Approved IAR CE Courses

This continuing education course explores the critical intersection of artificial intelligence technology and regulatory compliance in the investment advisory industry. Participants will gain practical knowledge to ensure their firm's AI usage complies with SEC regulations, FINRA rules, and state securities laws. The course covers essential topics including privacy requirements, oversight obligations, fiduciary duties in AI-assisted decision making, and the evolving regulatory framework governing AI use in financial services. Through examination of recent enforcement actions, SEC risk alerts, and practical implementation strategies, participants will learn how to balance innovation with regulatory compliance and client protection.

The.integration of artificial intelligence (AI) into advisory firms' operations introduces a host of legal and compliance considerations that cannot be overlooked. In this session, legal and compliance expert Chris Stanley, will examine the critical regulatory areas impacted by AI adoption, including Regulation S-P (privacy and data sharing), SEC Rule 204-2 (recordkeeping obligations), disclosure requirements under Form ADV and Form CRS, and the need for human oversight to ensure regulatory compliance. Advisors will gain practical insights to navigate these evolving requirements, implement best practices, and ensure their use of AI tools aligns with client expectations and regulatory mandates.

This CE course equips financial advisors with practical strategies to apply AI and automation tools in their practices responsible. AI is a new technology, and this class maps a path for IARs to implement AI ethically and responsibly. The class is geared to educating practitioners to use artificial intelligence (AI) to engage clients and prospects in the financial planning process. You are shown ways how to streamline workflows, tighten compliance on client communications and recordkeeping, and boost client engagement through smarter content creation. The program also covers advanced marketing tactics, including SEO and GEO (Generative AI Engine Optimization), to boost rankings in AI-powered search results. Real-world demonstrations include using ChatGPT for newsletters, social posts, and personalized follow-ups.

What do you do when you suspect an aging client is being financially exploited, often by a friend or family member taking advantage of them? Two regulatory tools exist specifically to help you act: the trusted contact framework and temporary disbursement hold authority. But many advisors either don't know these tools exist, don't understand the conditions under which they can be used, or are so uncertain about the rules that they default to doing nothing (to avoid accidentally breaching client privacy) while allowing a client's assets to remain at risk.

Join Amy as she takes a deep dive into these two specific provisions of NASAA's Model Act to Protect Vulnerable Adults from Financial Exploitation: what they actually say, what they allow, what they require, and why regulators created them in the first place. Using real case scenarios, attendees will work through exactly how to apply these tools in practice: when a trusted contact can be reached out to and for what purpose, what triggers the authority to place a temporary hold on a disbursement, what documentation must accompany that hold, and what happens next. 

Upon completion of this self-study course, financial professionals will be able to identify key ethical principles, fiduciary obligations, and regulatory requirements when utilizing artificial intelligence in various capacities. Best practices for maintaining ethical standards in these areas are included in the course materials and real-life examples are provided. Participants will have a demonstrated increase in awareness and knowledge as measured by a post-course assessment. Real-world scenarios help illustrate ethical dilemmas and proper conduct. Mastery of these principles protects not only the client relationship but also the advisor’s professional reputation.

This course examines AI-washing risks and compliance strategies for state-registered IARs. It defines AI-washing and distinguishes legitimate AI from misrepresentations, tracing how technology and marketing claims have evolved in financial services. The regulatory section analyzes how existing securities laws apply to AI-washing through antifraud provisions, fiduciary duties, marketing rules, and recordkeeping requirements. The course explores high-risk areas including marketing materials, Form ADV disclosures, client communications, and investment due diligence, with practical guidance on documentation standards and review processes. Real-world enforcement cases illustrate regulatory approaches and consequences. A strategic framework addresses dual challenges: preventing misrepresentation in firm communications while conducting appropriate due diligence on AI claims in investment opportunities. Finally, the course concludes with an 'AI terminology guide,' defining the most common terms and clearly explaining the technology's current capabilities and limitations.

Accredited Investment Fiduciary' (AIF') Training prepares investment professionals and those managing investments on behalf of others to carry out their fiduciary responsibilities.This is a classroom seminar for participants who wish to learn about the investment fiduciary methodology. It is also a core requirement to obtain the AIF' Designation.Prior to attending the seminar, participants must complete the online self-paced portion of the training. The AIF' Final Examination (another core requirement) is administered at the conclusion of the seminar.

In this continuing education session, learners will review 2 Nerd’s Eye View blog articles: Alternative Investment Due Diligence For RIAs: A Framework For Compliantly Evaluating Private Funds and 10 Charts To Help Advisors Guide Top Client Concerns In 2026.

In the first article, Ben Henry Moreland, Senior Financial Planning Nerd at Kitces.com, outlines how fiduciary duty and the duty of care require advisors to develop thorough due diligence processes when evaluating alternative investments – especially private funds. The article breaks down why complex or opaque investment structures demand deeper analysis, how to tailor diligence to client and manager factors (including risk, liquidity, strategy, operations, and costs), and how advisors can document and justify their assessments to ensure that recommendations are in the client’s best interest.

In the second article, James Liu presents ten key charts and insights from Clearnomics that frame the major economic and market themes shaping financial planning for 2026. These visuals help advisors contextualize topics such as artificial intelligence’s impact on markets, valuation levels, geopolitical risks (including tariffs), Federal Reserve policy, currency dynamics, and the role of diversification in managing client portfolios. The article emphasizes how advisors can use data driven talking points to better educate and guide clients through an increasingly complex investment landscape.

This course defines the term "alternative investments" and reviews several different types of investments that are classified as alternative investments. An explanation is provided as to why alternative assets are needed to diversify and create efficient portfolios. A focused review is provided regarding the risks and benefits of alternative investments including hedge funds, private equity, venture capital, private debt, infrastructure investments, commodities and real estate.