Approved IAR CE Courses

In this continuing education session, learners will review 2 Nerd’s Eye View blog articles: 3 Strategies To Optimize Incentive Stock Options Planning And Address AMT and Using Exchange Funds To Diversify Concentrated Securities (And When It’s Better To Sell Instead).

In the first article, Daniel Zajac details how Incentive Stock Options (ISOs) work, why they create unique tax challenges, and how advisors can strategically guide clients through timing, selling, and AMT-credit planning. In the second article, Ben Henry-Moreland examines how exchange funds can help clients diversify highly appreciated concentrated stock positions while deferring capital gains taxes and explains the tax rules that make these strategies possible.

Managing IAR Conflicts Effectively is a practical, regulatory-focused course designed for Investment Adviser Representatives (IARs) who must navigate real-world conflicts of interest while upholding ethical and fiduciary standards. This course explores how compensation structures, product recommendations, and firm affiliations can create ethical dilemmas - and what IARs must do to disclose and mitigate these conflicts. Learners will gain a working knowledge of SEC expectations, Form ADV and Form CRS disclosure requirements, and supervisory best practices. Engaging examples and scenario-based reflections support the development of sound judgment and effective communication strategies. This course reinforces the importance of transparency, documentation, and ethical conduct in today's advisory landscape.

This course explores the compliance risks investment adviser representatives (IARs) face when using personal devices or communication channels not approved by their firm. It explains how regulatory requirements apply to everyday client interactions and shows how unapproved messaging can create recordkeeping failures, fiduciary duty concerns, and cybersecurity vulnerabilities. Through real-world enforcement examples and practical scenarios, IARs will learn strategies to keep communications compliant, protect client information, and strengthen professional integrity in today's remote and technology-driven work environment.

This course covers business management for the state-registered investment adviser. It is divided into four sections and discusses business filings and records, compliance and registration functions supporting the business, business management and operations, and a summary of the resources available to investment advisers.

This month we review the March Blog articles in two quizzes. This quiz includes the following articles: The Impact Of New IRS Proposed Regulations On The SECURE Act: RMDs, Eligible Designated Beneficiaries, Trusts, And More! and Strategies For Maximizing (Or Minimizing!) Rule 72(t) Early Distribution Payments Using IRS Notice 2022-6.

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.