Approved IAR CE Courses

Treasury securities provide investors with both safety and liquidity. This course will examine the essential characteristics of the different types of U.S. government securities, the process by whichthey're offered to investors, and some of the specific risks associated with them. Readers will alsoexamine the impact of changing interest rates and how to analyze yield curves. For a fullerunderstanding of whether a recommendation of Treasury securities is appropriate, details on the taxtreatment of these securities is included.

The True Wealth Planning Implementation Part 1 course introduces participants to the ethical and professional foundations of Money Quotient's True Wealth' Planning process. Emphasis is placed on building trust, fostering client self-awareness, and gathering qualitative data in alignment with fiduciary principles. Participants will explore the ethical dimensions of discovery, communication, and the advisor-client relationship. The course focuses on the early stages of planning'Explore, Engage, and the beginning of Envision.

True Wealth Planning Implementation Part 2: Practice focuses on the latter half of Money Quotient's True Wealth' Planning process: Envision, Enlighten, and Empower. Participants will learn how to co-create goals with clients, present financial plans that reflect what matters most, and support meaningful client follow-through. Emphasis is placed on the practical application of planning strategies rooted in each client's unique values and vision.This course is designed to fulfill CE requirements for Products and Practice for Investment Adviser Representatives (IARs).

This course provides an overview of investment risk and the many forms it can take. It also includessome material on risk mitigation. The course discusses the distinction between systematic andnonsystematic risks. The major types of systematic and nonsystematic risk are covered, including but not limited to market risk, interest rate risk, inflation risk, credit risk, liquidity risk,reinvestment risk, exchange rate risk, tracking risk, concentration risk, and operational risk.The role of diversification and hedging as tools for reducing risk are discussed.

This course provides financial professionals with an evidence-based update on U.S. economic conditions and stock market trends as of August 19, 2025. Fritz Meyer analyzes key indicators including PMI data, employment trends, consumer spending, GDP forecasts, and inflation, offering insight into how these data points impact client portfolios. The course emphasizes long-term growth patterns, the wealth effect from baby boomers, and the role of earnings expectations in supporting high equity valuations. It also explores American exceptionalism, U.S. vs. international equity performance, and the implications of federal debt and deficits. Designed for CFP, CPA, CIMA, and IAR CE and CPE credit, this course helps professionals better understand today's financial landscape and communicate it effectively to clients.

We often hear from speakers on compliance topics. However, most never go through what the process is like from the advisor's perspective. The presenter of this session has been the subject of two standard SEC audits and will share real-life examples of what the process is like, essentially running though a mock audit for the attendees.Unlike traditional compliance presentations that focus on regulatory theory, this session will deliver a practitioner-led deep dive into the actual audit experience and draw from authentic case studies. Attendees will have the opportunity to have a hands-on approach to strategic considerations and practical challenges that define successful audit navigation. They will receive actionable frameworks for managing their own regulatory encounters with confidence and professionalism.

Understanding & Recommending Investment Products in a Changing Market equips investment professionals with the knowledge and skills to evaluate products and practices in today's evolving regulatory and market environment. The course is divided into three chapters: Reg BI Practical Applications, which focuses on applying the best interest standard when recommending products; Trading Practices for Investment Advisors, which covers effective, compliant, and client-focused trading strategies; and Insider Trading & Market Manipulation, which addresses the identification and avoidance of improper market conduct. Collectively, these modules provide participants with the practical tools to recommend products responsibly, maintain compliance with regulatory obligations, and uphold client trust in a dynamic marketplace.

This course is designed for financial professionals, advisors, and investors and delves into key alternative investments, including hedge funds, private equity, venture capital, real estate, commodities, cryptocurrencies, and structured products. Participants will gain a clear understanding of their unique characteristics, risk-return profiles, and role in portfolio diversification. This course highlights real-world applications to provide practical insights into successful strategies and potential pitfalls. Participants will explore the evolving legal landscape governing alternative investments and emphasizes the importance of due diligence, risk management, and aligning investments with financial goals.

This course explains the ethical and regulatory obligations of financial professionals when recommending deferred variable annuities. It highlights FINRA Rule 2330, focusing on suitability, supervision, and disclosure requirements to ensure client-first decision-making.