Approved IAR CE Courses

Throughout this course, students will learn what it means to be a fiduciary in the eyes of the SECand other regulators. IARs & Reg BI discusses the top responsibilities of investment advisers actingas fiduciaries as well as the deficiencies most commonly found in regulatory examinations. It scrutinizes the investment adviser code of ethics requirements, common conflicts of interest in thecourse of business, and how failing to deal with them properly can result in disciplinary actions. Case studies illustrate the course concepts.

This IAR Continuing Education course provides an overview of the SEC's Rule 206(4)-5, commonly referred to as the "Pay-to-Play" rule. Designed for investment adviser representatives, the course delves into the rule's origins, key provisions, and its critical role in preventing unethical practices within the industry. Attendees will gain practical insights into how to comply with the rule, update internal policies, and avoid the severe penalties associated with violations.

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.

A strong understanding of investment products is essential for delivering suitable recommendations and supporting sound advisory decisions. Investment Adviser Representatives must be able to evaluate product structures, risks, costs, and portfolio roles while aligning recommendations with client objectives, risk tolerance, and investment policy statements.

This course provides a comprehensive review of equities, fixed income securities, and mutual funds commonly used in advisory portfolios. Participants will explore product characteristics, return drivers, risk considerations, cost structures, diversification benefits, and suitability factors. The course also examines how investment policy statements guide product selection, how to compare alternatives effectively, and how to document recommendations using a disciplined client-first framework.