Approved IAR CE Courses

This course examines how artificial intelligence is becoming part of financial services, creating new efficiencies but also new potential risks for investment adviser representatives. It explains how AI fits within the existing regulatory framework, including fiduciary duties, the Marketing Rule, the Books and Records Rule, and Regulation S-P - framed through the lens of ethical responsibilities. Through examples, enforcement cases, and professional guidance, you will see that while technology may evolve, your ethical duties do not: the standards of care, honest and transparent disclosure, and protection of client data remain constant and must guide your judgment in practice.

This continuing education course explores the critical intersection of artificial intelligence technology and regulatory compliance in the investment advisory industry. Participants will gain practical knowledge to ensure their firm's AI usage complies with SEC regulations, FINRA rules, and state securities laws. The course covers essential topics including privacy requirements, oversight obligations, fiduciary duties in AI-assisted decision making, and the evolving regulatory framework governing AI use in financial services. Through examination of recent enforcement actions, SEC risk alerts, and practical implementation strategies, participants will learn how to balance innovation with regulatory compliance and client protection.

The.integration of artificial intelligence (AI) into advisory firms' operations introduces a host of legal and compliance considerations that cannot be overlooked. In this session, legal and compliance expert Chris Stanley, will examine the critical regulatory areas impacted by AI adoption, including Regulation S-P (privacy and data sharing), SEC Rule 204-2 (recordkeeping obligations), disclosure requirements under Form ADV and Form CRS, and the need for human oversight to ensure regulatory compliance. Advisors will gain practical insights to navigate these evolving requirements, implement best practices, and ensure their use of AI tools aligns with client expectations and regulatory mandates.

This CE course equips financial advisors with practical strategies to apply AI and automation tools in their practices responsible. AI is a new technology, and this class maps a path for IARs to implement AI ethically and responsibly. The class is geared to educating practitioners to use artificial intelligence (AI) to engage clients and prospects in the financial planning process. You are shown ways how to streamline workflows, tighten compliance on client communications and recordkeeping, and boost client engagement through smarter content creation. The program also covers advanced marketing tactics, including SEO and GEO (Generative AI Engine Optimization), to boost rankings in AI-powered search results. Real-world demonstrations include using ChatGPT for newsletters, social posts, and personalized follow-ups.

What do you do when you suspect an aging client is being financially exploited, often by a friend or family member taking advantage of them? Two regulatory tools exist specifically to help you act: the trusted contact framework and temporary disbursement hold authority. But many advisors either don't know these tools exist, don't understand the conditions under which they can be used, or are so uncertain about the rules that they default to doing nothing (to avoid accidentally breaching client privacy) while allowing a client's assets to remain at risk.

Join Amy as she takes a deep dive into these two specific provisions of NASAA's Model Act to Protect Vulnerable Adults from Financial Exploitation: what they actually say, what they allow, what they require, and why regulators created them in the first place. Using real case scenarios, attendees will work through exactly how to apply these tools in practice: when a trusted contact can be reached out to and for what purpose, what triggers the authority to place a temporary hold on a disbursement, what documentation must accompany that hold, and what happens next. 

Upon completion of this self-study course, financial professionals will be able to identify key ethical principles, fiduciary obligations, and regulatory requirements when utilizing artificial intelligence in various capacities. Best practices for maintaining ethical standards in these areas are included in the course materials and real-life examples are provided. Participants will have a demonstrated increase in awareness and knowledge as measured by a post-course assessment. Real-world scenarios help illustrate ethical dilemmas and proper conduct. Mastery of these principles protects not only the client relationship but also the advisor’s professional reputation.

This course examines the application of existing fiduciary obligations and federal securities law to the use of artificial intelligence in investment advisory practice. Drawing on the Investment Advisers Act of 1940, SEC anti-fraud provisions, Regulation Best Interest, and FINRA Regulatory Notice 24-09, the course addresses three core compliance areas: identifying AI-related conflicts of interest, meeting disclosure obligations through Form ADV, and building supervisory and recordkeeping frameworks for AI-assisted advisory activities. The course is designed for investment adviser representatives, CFP professionals, and compliance personnel at registered investment advisory firms.

This course examines AI-washing risks and compliance strategies for state-registered IARs. It defines AI-washing and distinguishes legitimate AI from misrepresentations, tracing how technology and marketing claims have evolved in financial services. The regulatory section analyzes how existing securities laws apply to AI-washing through antifraud provisions, fiduciary duties, marketing rules, and recordkeeping requirements. The course explores high-risk areas including marketing materials, Form ADV disclosures, client communications, and investment due diligence, with practical guidance on documentation standards and review processes. Real-world enforcement cases illustrate regulatory approaches and consequences. A strategic framework addresses dual challenges: preventing misrepresentation in firm communications while conducting appropriate due diligence on AI claims in investment opportunities. Finally, the course concludes with an 'AI terminology guide,' defining the most common terms and clearly explaining the technology's current capabilities and limitations.

AI has been dominating the headlines for the past two years. The massive
run-up in any stocks related to AI has led to some looking for the next "big"
mover while others are comparing this to the late 90s tech bubble. Is this a
Boom like no other we've experienced in this country, or yet another bubble
which will leave those late to the rally left with unrecoverable losses? In this
presentation we will take a look at the impact AI has had on our economy and
the market and discuss ways this is similar to and different from the past
bubbles.

Accredited Investment Fiduciary' (AIF') Training prepares investment professionals and those managing investments on behalf of others to carry out their fiduciary responsibilities.This is a classroom seminar for participants who wish to learn about the investment fiduciary methodology. It is also a core requirement to obtain the AIF' Designation.Prior to attending the seminar, participants must complete the online self-paced portion of the training. The AIF' Final Examination (another core requirement) is administered at the conclusion of the seminar.