Approved IAR CE Courses

This course explores the critical role of cost basis in estate and wealth transfer planning, equipping participants with the knowledge to optimize tax outcomes. It covers foundational concepts such as carryover basis in lifetime gifting and step-up in basis at death, including special rules for depreciated assets. Attendees will examine how marital planning, irrevocable trusts, and charitable strategies influence basis treatment, with emphasis on recent IRS guidance. Through practical examples and planning comparisons, the course provides actionable insights for advisors navigating complex basis scenarios.

Trust, tax, and estate planning is essential components for IRAs. Without them, significant amounts could be lost to federal and estate taxes for IRA owners and their beneficiaries. Join nationally renowned experts to learn the following:- Roth conversion strategies- Strategies for reducing the tax impact of IRA distributions- When it makes sense for a trust to be the beneficiary of an IRA- General estate planning strategies for IRAs

This course provides an overview of how tender offers work, including their required disclosures, timeframes, and regulatory safeguards. Participants will learn the rules that govern tender offers, including restrictions on trading and outside purchases, and the protections designed to ensure equal treatment for shareholders. The course equips IARs to better understand the mechanics, risks, and fiduciary considerations surrounding tender offer activity.

In November 2022, the U.S. Securities & Exchange Commission passed Rule 206(4)-1, whichmerged the former Advertisement Rule from 1961 and the former Solicitor Rule from 1979. Thespeakers will discuss the important components and requirements when allowing Testimonials &Endorsements as they relate to investment adviser firms. Participants will gain an understanding ofhow to implement effective policies and procedures and what steps should be taken to supervise,train and monitor such Testimonials & Endorsements.

This is a continuing education course that covers all aspects of Individual Retirement Accounts. The course is designed to help the financial advisor or insurance professional benefit the client with more in-depth information concerning the history and specific types of IRAs; investing; protections; estate planning; and education.

The Advisor's Guide to Social Insurance Programs is an educational tool to help advisors through the maze of programs, rules and regulations that affect many if not all their aging Baby Boomer clients, their spouses, and dependents. The course is broken down into three sections to give the advisor an understanding of the various benefits of the Social Security, Medicare, and Medicaid programs.

This course provides an overview of the SEC's Compliance Program Rule for investment advisers.It is this rule that requires investment advisers to have a compliance program ensuring that thefirm and its supervised individuals are compliant with the SEC's other rules and regulations. Thecourse covers the purpose of the rule and associated historical background information, as well asthe SEC statutory authority underlying the rule. Much of the course focuses on the three mainrequirements of the rule: that an investment adviser have written policies and procedures reasonably designed to prevent violations; that compliance be verified with annual reviews; andthat the investment adviser designate an individual to oversee compliance, often referred to as thechief compliance officer (CCO). Key compliance areas to be covered by the compliance systemare also discussed, along with documentation and recordkeeping. The course covers best practices, examination/enforcement by the SEC, and recent developments in enforcement withexamples.