Approved IAR CE Courses

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.

This course provides a comprehensive overview of securities regulation in Nevada, focusing on the role and authority of the Nevada Securities Division and its oversight of broker-dealers, investment advisers, and their representatives. Participants will gain a clear understanding of how the Division enforces state securities laws, conducts examinations, and promotes investor protection.

The course explores the full examination process, including its purpose, scope, and the types of records typically reviewed. It also covers potential post-examination outcomes and highlights practical best practices firms can implement to maintain compliance and reduce regulatory risk.

In addition, participants will be introduced to the North American Securities Administrators Association and its role in shaping consistent regulatory standards across jurisdictions. The course provides an overview of NRS 90 and NAC 90 and key regulatory requirements, including policies and procedures, recordkeeping obligations, ethical standards, advertising rules, custody considerations, and suitability requirements.

Common compliance violations are examined to help firms identify risk areas and strengthen internal controls. The course concludes with a discussion-based Q&A segment, reinforcing key concepts and addressing practical compliance questions.

Overall, this course equips participants with the knowledge and tools needed to navigate Nevada’s regulatory environment effectively while upholding the core principle of investor protection.

The course will review the regulatory framework that governs investment companies, including the Investment Company Act of 1940 and the SEC. The organizational structure, responsibilities of each party, and the process of buying and selling open-end investment companies will be explained. The course will then define the different types of investment companies and the methods used to evaluate individual funds.

This course describes the basic “building block” concepts in constructing diversified investment portfolios for individuals. It covers the techniques that professionals use to evaluate equities and bonds and also the common strategies that individual investors can pursue in asset allocation programs that utilize these asset classes.

As stocks and bonds are assembled into portfolios, risk factors are identified along with common tools and techniques for maintaining diversification and monitoring performance.

This course is designed to enhance the knowledge and skills of investment advisory representatives by providing a comprehensive understanding of various investment strategies. It covers fundamental concepts, practical applications, risk management techniques, and emerging trends in the investment landscape. By the end of this course, participants will be better equipped to develop and implement effective investment strategies tailored to their client's needs.Course Description:Unlock the Secrets of Successful Investing with Our Comprehensive Investment Strategies CourseAre you ready to elevate your investment acumen and confidently navigate the complex world of finance? Our in-depth Investment Strategies Course is meticulously designed for aspiring and seasoned investment advisory representatives who aim to master both the foundational concepts and advanced strategies essential for delivering exceptional value to clients. Spanning across four intensive modules, this course delves into fundamental investment principles, explores the nuances of passive and active investment strategies, and equips you with the skills to develop personalized investment policies that align with diverse client profiles.From understanding the intricacies of Modern Portfolio Theory and behavioral finance to expertly applying value, growth, income, momentum, and contrarian investing strategies, you'll gain a holistic understanding of the investment landscape. Through engaging content, practical exercises, real-world case studies, and comprehensive resources, you'll be empowered to craft tailored investment plans, optimize portfolio performance, and foster lasting client relationships. Embark on this transformative journey to enhance your professional expertise and drive sustained financial success for your clients.

There are many types of investment vehicles, each with unique characteristics. In this course we will explore those investment vehicles and their characteristics, such as costs, benefits, tax implications, and risks associated with each.