Approved IAR CE Courses

Since dealing with institutional clients comes with unique responsibilities, this course shows how strong investment governance helps protect both beneficiaries and decision-makers. Readers will learn about the importance of building and maintaining a solid investment policy statement (IPS), clarifying the roles of committee members and those in OCIO/consulting relationships, and documenting decisions in a way that stands up to scrutiny. The course also examines best execution and conflicts of interest in order to highlight how trust, oversight, and accountability work in institutional investing.

The course will introduce the basics of interest, interest rates, and a history of lending. The course will also teach students about the relationship between the economy, interest rates, and the Federal Reserve. In the final sections, the course will review how bonds and stocks are effected by interest rates.

The fiduciary responsiblity that investment advisers and investment adviser representatives have with their clients includes the duty of care, which means that they must have the knowledge of the products they recommend and the ability to explain both the benefits and risks of the investments. Annuities can be complex products that offer characteristics of insurance and securities investments. In the past, these have been the focus of regulators regarding unsuitable recommendations and this course will describe the fundamental characteristics, risks, and benefits of annuities so thatinvestment adviser representatives can feel comfortable and knowledgeable when providing suchrecommendations to their clients.

This course will introduce the process of conducting fundamental and technical analysis. The fundamental analysis section will cover the income statement, balance sheet, and financial filings with the SEC. Then, the course will go over the calculation of earnings per share (EPS) and fully diluted EPS. It will also cover profit margins and coverage ratios. After a brief explanation of the balance sheet, the course will then examine return on equity, price to book value, and liquidity measurements. The final part of the fundamental analysis section will cover the price-to-earnings (P/E) ratio and valuing a company based on its dividends. Technical analysis will be covered last and includes information on technical patterns and theories.

This course takes readers inside one of the most fast-moving and consequential shifts in modern finance — the rise of cryptocurrencies, blockchain technology, and decentralized finance — and breaks down what investment advisers actually need to know to navigate this space responsibly. Attention is paid to the real risks and opportunities across digital asset types, from bitcoin and stablecoins to NFTs, event contracts, and yield farming strategies. With regulators still racing to keep up, this course examines the evolving SEC and CFTC frameworks so that advisers are informed and able to guide clients with clarity and confidence.

This course will introduce hedge funds and when they're suitable. The introduction will give students some defintions and context for the size of the hedge funds. In the following section, students will learn about how hedge funds are created and their history. Hedge fund strategies will be presented next and then we'll list some of the advantages and disadvantages of these investments. The final section will review how securities laws and regulations impact hedge funds.

This course explores the principles and obligations that define what it means for an investment adviser representatives to act in a client's best interest — from the foundational fiduciary duties established by the Investment Advisers Act of 1940 to the complex conflict of interest scenarios that they face in the real world. Areas of focus include the registration and disclosure requirements for advisers as well as how regulators conduct examinations and enforcement actions. This course is a practical guide to operating with integrity in an environment where the stakes are high for both advisory clients and IARs.

This course examines the standards and provisions implemented by SEC Rule 204A-1, requiring all federally registered investment adviser to establish a code of ethics. Defining employees who areclassified as supervised persons and access persons is reviewed first, with case studies provided to explain the differences between them. The course will proceed by examining the elements of thestandards of conduct, with case studies to address the deficiencies that the SEC uncovered in itsexaminations. The readers should find the scenarios useful in avoiding issues leading to conductthat's not in alignment with their investment adviser's code of ethics.