Approved IAR CE Courses

Mindset Mastery is designed specifically for an exceptional and exclusive group of successful women in wealth to rejuvenate themselves, their team, and their clients through intentional connection with other wise, supportive, experienced, and inspiring women. This program is designed to define their vision, coordinate their team, integrate technology, elevate their brand, and rejuvenate all aspects of their advisory practice. It will also keep them on the path of systematizing & growing their advisory practice in a meaningful and manageable way, while maximizing the value of their life's work.

The course will cover the following topics: The impact of financial exploitation, Trends and tactics, MN Safe Seniors Act, How the Commerce Department can help, Resources

This course examines investment adviser representatives' fiduciary and ethical responsibilities in preventing misuse of Material Nonpublic Information (MNPI). It explores how enforcement nowextends beyond classic insider trading to penalize firms with weak or generic compliance programs, even absent improper trades. Using landmark cases and a recent Rule 10b5-1 conviction, the course shows how regulators view delayed, poorly tailored, or unenforced policies as standalone violations. Participants will review Section 204A, Rule 206(4)-7, Regulation FD, and NASAA model rules, with emphasis on how SEC 'gold standard' expectations filter into state exams. Compliancebest practices include policy tailoring, restricted lists, pre-clearance, surveillance, and documentation, with attention to risks from technology, remote work, off-channel communications, and automated trading. The course also applies ethical decision-making frameworks through case studies and scenarios, helping IARs balance fiduciary duty, compliance, and client trust in today's complex environment.

The Hormuz Strait crisis is contextualized by examining previous oil shocks, including the 1973–1974 Arab Oil Embargo, 1979–1980 Iranian Revolution, 1990–1991 Gulf War, and 2007–2008 Global Commodity Price Spike.

This monthly course is in its 16th year and provides financial professionals with a structured framework for interpreting economic data and applying it to investment advice.

This month's class enables advisers to:
Review Performance of Main GDP Growth Drivers. Inflation, job formation, and other fundamentals are reviewed, enabling informed financial decisions based on current facts.
Analyze Stock Market Reaction To Recent News. Learners will feel better able to assess the impact of geopolitical events, such as Israel/Iran tensions and U.S. elections, on market performance, valuations, and volatility.
Know Key Facts About Federal Reserve Monetary Policy. Learners will be better educated about how to interpret Federal Reserve rate policy and grow conversant in the facts needed for making data-driven investment decisions.
Formulate Investment Strategies Based on Earnings Valuations on the S&P 500. Learners will be able to develop long-term investment strategies by analyzing current earnings valuations versus modern history.
Grow Better Able To Create A Personal Economic Growth Outlook Based on Authoritative Sources. Learners will be able to develop their own GDP growth outlook informed by the most recent consensus forecasts of leading professional economists.
Review Important News & Analysis In The Wall Street Journal. Poignant news and analysis, as reported in The Wall Street Journal, the largest U.S. financial news outlet, about the current financial economic situation are reviewed. A curated review of important WSJ articles keeps participants current on what’s happening in financial economics based on an authoritative source.

This interactive course explores how Motivational Interviewing (MI) can be used to help clients follow through on financial advice. Advisors will learn how to recognize and work with client ambivalence, reduce resistance, and facilitate more meaningful conversations that support behavior change. The course introduces the core spirit and techniques of MI, such as evoking internal motivation and using autonomy-supportive language and applies them specifically to the challenges of implementing financial recommendations. Participants will engage in structured exercises, case examples, and a live Q&A discussion to reinforce key concepts.

This month we review the August blog articles. This quiz includes the following articles: Motivational Interviewing Techniques To Help Clients Talk Themselves Into Implementing Advice and Crafting More Equitable Advisor Non-Solicit Agreements With The ACRES Agreement

This course examines the importance municipal bonds, describes the fundamental characteristicsof both general obligation and revenue bonds, and the differences in analyzing the financialstrength of the issuer. A review of Moody's, Standard & Poor's, and Fitch Investor Services' approach to rating issuers and the methods that may be used to enhance the credit of specific bonds.An overview of the tax implications of investing in municipal debt is provided, including the calculations of taxable equivalent yield and net yield, as well well as the tax impact of purchasingoriginal issue discount (OID) bonds, secondary market discount bonds, and premium bonds.

Municipal bonds play a vital role in public finance and in the portfolios of income seeking investors. Understanding the various types of municipal bonds is essential for any adviser hoping to make sound, suitable recommendations to clients. This study guide is designed to introduce the fundamentals of municipal securities, demystify common structures and terminology, and provide context for yield, pricing, taxation, and risk. It also ties in regulatory considerations and client suitability, helping advisers uphold their fiduciary duties while navigating the complexities of this asset class.