Approved IAR CE Courses

This course provides IARs with a comprehensive understanding of regulatory standards and ethical principles for social media usage in the financial services industry. It covers essential compliance topics, including the SEC's Marketing Rule, FINRA guidelines, and best practices for managing client confidentiality, recordkeeping, and cybersecurity. Through case studies and practical examples, participants gain skills to make informed, ethical decisions, promoting trust and integrity in digital client interactions.

Succession planning is far more than an end-of-career exit strategy. It is an ongoing fiduciary responsibility to protect clients whenever normal advisory service is interrupted. This course gives IARs a practical roadmap for turning business continuity from a passive compliance document into an active, client-centered protection process. Through realistic advisory scenarios, learners will examine plan activation, backup adviser arrangements, confidentiality safeguards, communication protocols, client consent, and successor selection during temporary disruptions and longer-term transitions. This course is designed to help advisers preserve client trust, support the value of their practice, and respond to disruption with greater fiduciary and regulatory discipline.

The purpose of this course is to examine Internal Revenue Code (IRC) Section 1035 and the planning capabilities it requires. The course covers the basic tax treatment of life insurance and annuities, the purpose of Section 1035, the exchange rules of life insurance and annuities, the meaning of policy replacement, and the procedures for properly effecting a 1035 exchange.

This course explains the ethical and regulatory obligations of financial professionals when recommending deferred variable annuities. It highlights FINRA Rule 2330, focusing on suitability, supervision, and disclosure requirements to ensure client-first decision-making.

Traditional IRAs, Roth IRAs, education IRAs, and medical savings accounts are the subject of this course. Learn how these savings vehicles can be used with employer-sponsored retirement plans and medical savings accounts as part of an overall personal financial strategy, for both retirement and pre-retirement savings.

Take your knowledge of variable contracts to the next level. Learn to describe the formal characteristics of fixed premium variable life, variable universal life, and variable annuities to prospects and clients; determine suitability requirements of variable contracts; and explain and recommend asset allocation based on your clients' needs.

Explore the steps in the variable life insurance and annuity sales process through a series of case studies. Meet the clients, conduct a fact-finding interview, create a plan, present the plan, and follow up to determine if the plan continues to best serve the client.