Approved IAR CE Courses

The global dynamics of valuations & earnings tell a unique story of investment opportunity, especially when "risk" is brought into focus. Equity & bond markets are giving them appearance of a low risk environment. Geopolitical & Sovereign fundamentals are forecasting a different view. If risk is defined as an impairment of capital, the importance of "Scarcity Value" should stand at the forefront. Scarcity Value is best represented by the durability of an asset or a business model and should be understood and invested in as a diversifier from the passive approach of SPY.

Market manipulation can be destructive to both the securities industry and the confidence of investors.This course will examine the history and case law related to the use of inside information. Importantterms will be defined and specific rules designed to prevent the use of material, non-public information will be examined. Through the use of case studies, readers will gain an understanding of the importance of combating the flow of inside information because of its impact on the market.

The SEC released a new Marketing Rule, replacing outdated regulations from 1961. It modernized RIA advertising and marketing to address technological changes. It also replaced the old solicitation rule for paid solicitors and introduced new definitions that control the rule’s application.

This course provides investment adviser representatives with a practical and comprehensive overview of the SEC's Investment Adviser Marketing Rule. Participants will learn how the rule governs the use of testimonials, endorsements, and third-party ratings, along with performance advertising and hypothetical performance. The course highlights disclosure, oversight, and recordkeeping considerations, supported by real-world scenarios and recent enforcement examples. Designed for IARs in a variety of roles, this training focuses on actionable guidance to promote compliant, effective client communications. Upon completion, learners will be better equipped to avoid common pitfalls and support their firm's adherence to regulatory standards.

This course provides a comprehensive overview of the new SEC Marketing Rule for investment advisers. It covers the key components of the rule, including the expanded definition of "advertisement", general prohibitions, requirements for testimonials, endorsements, and third-party ratings, performance advertising standards, and recordkeeping obligations. The course also discusses the impact of the rule on investment advisers' compliance efforts, marketing strategies, and the overall competitive landscape. Through hypothetical case studies, participants gain practical insights into how to navigate the new rule effectively and develop compliant marketing practices that benefit both advisers and investors.

For many families, 529 plans are the cornerstone of education savings'but for financial advisors, understanding how to evaluate and optimize these plans requires more than just knowing the basics. This session equips advisors with a deep understanding of the critical factors that drive 529 plan recommendations.From state-level tax incentives and ownership structure to investment options and the interaction with other planning tools, this session provides advisors with the confidence to design customized education savings strategies. Advisors will learn how to evaluate plans, guide families in optimizing tax advantages, and integrate 529s into broader estate and multigenerational wealth planning.Whether serving new parents, grandparents, or high-net-worth clients, participants will gain the tools to sharpen their recommendations and ensure clients get the maximum strategic benefit from this tax-advantaged vehicle.

This program is designed for investment professionals, compliance officers, and legal teams who handle customer complaints in the financial industry. The course provides a comprehensive framework for identifying, reporting, and resolving complaints while ensuring compliance with SEC, FINRA, and firm regulations. Participants will learn how to navigate the complaint process, mitigate risks, and protect their professional reputation.