Approved IAR CE Courses

As we move into the second quarter of 2026, the global economy is reaching a critical inflection point. The Q2 Market Outlook Symposium brings together leading investment strategists to analyze how shifting fiscal policies, evolving inflation data, and sector rotations are redefining the investment landscape.

Participants will gain a deep understanding of the macroeconomic drivers shaping the next three months. We move beyond the headlines to provide actionable insights on portfolio construction and risk mitigation, helping advisors identify value in an environment characterized by both transition and opportunity.

Core areas of focus include:
Fixed Income & Alternatives: A deep dive into traditional bonds, CLOs, and the role of Autocallable ETFs.
Strategic Sector Analysis: Evaluating opportunities in Defense, Energy, and the continued evolution of Artificial Intelligence.
Operational Excellence: Implementing tax-efficient investing strategies to protect client returns.

Financial advisors are currently navigating unprecedented changes in fixed income markets, and this course is designed to provide the critical guidance needed for strategic portfolio construction. This symposium brings together leading experts from the ETF and mutual fund industries to offer in-depth insights into nine key fixed income topics. The discussions will cover a wide range of subjects, including the outlook on interest rates, how to effectively move out of cash, and where to take on credit risk. Attendees will gain a comprehensive understanding of diverse strategies, from active ETFs and multisector bond investing to the unique roles of CLOs and bank loans, to better serve their clients in a dynamic market environment.

Learn about pension, profit-sharing and 401(k) plans, as well as IRAs, Keoghs, and nonqualified deferred compensation. This course explains qualification and tax rules for each type of plan and examines each plan's design from the perspective of both employers and employees. Plan installation, administration, and termination are fully explained.

Michael E. Kitces, MSFS, MTAX, CFP, CLU, ChFC, RHU, REBC, CASL, is the Head of Planning Strategy at Buckingham Strategic Partners, a turnkey wealth management services provider supporting thousands of independent financial advisors. In addition, he is a co-founder of the XY Planning Network, AdvicePay, New Planner Recruiting, fpPathfinder, and FA BeanCounters, the former Practitioner Editor of the Journal of Financial Planning, the host of the Financial Advisor Success podcast, and the publisher of the popular financial planning industry blog Nerd's Eye View through his website Kitces.com which is dedicated to advancing knowledge in financial planning. In 2010, Michael was recognized with one of the FPA's 'Heart of Financial Planning' awards for his dedication and work in advancing the profession.

This course covers the characteristics of real estate investment trusts (REITs), including the differences between investing in real estate directly and investing in REITs, and the suitability and tax concerns of each. In addition, the course compares the characteristics and risks of publicly-traded REITs, non-exchange-traded REITs and private REITs. Differences between equity and mortgage REITs are also explained.

NASAA, FINRA, the SEC, industry groups, and courts have all made significant changes to the rules related to investment advisers and their investment adviser representatives ("IAR's")during 2024 and 2025. IAR's should know and understand how these recent developments affect the following areas, among others:Prior to the FinCEN Final Rule, there were no Federal or State regulations requiring IAs to maintain AML/CFT programs, including a CIP program or records under the Bank Secrecy Act (BSA);The amendments to Regulation S-P enhance the protection of consumer financial information by broadening the scope of information covered by Regulation S-P's requirements for covered institutions, inter alia broker-dealers,and investment advisers;Amendments to Regulation S-P will likely require modifications to cybersecurity programs; andUpdated Security Policy Templates are available on The Web - In partnership, the Cybersecurity Risk Foundation (CRF) and SANS have created a library of free cybersecurity policy templates to help organizations quickly define, document, and deploy key cybersecurity policies. The templates were updated April 15, 2025.

In this continuing education session, learners will review 2 Nerd’s Eye View blog articles: Recommending A Corporate Trustee: Finding One Who Will Serve The Client’s Interests (Without Competing For Client Relationship) and The 6-Figure Care Decision: Evaluating Continuing Care Retirement Communities (CCRCs) And Other Later-Life Housing Strategies

In the first article, author David Haughton explores the critical role of trustee selection in ensuring a client’s estate plan functions as intended, with particular focus on when and how financial advisors should recommend a corporate trustee. The discussion examines the differences between individual trustees, traditional corporate trustees, professional trustees, and advisor-friendly trust companies, along with the implications of directed versus delegated trust structures.

Second, author Kathleen Rehl explores how financial advisors can guide clients through later-life housing decisions, with a particular focus on Continuing Care Retirement Communities (CCRCs). The discussion reframes the decision away from simply comparing amenities or monthly costs and toward evaluating how housing and long-term care will be delivered, coordinated, and funded over time. The article outlines the structural differences between aging in place, 55+ communities, assisted living, and CCRCs, highlighting how each option allocates financial, longevity, and care-coordination risks.

This course discusses the three sections under Ch. DFI-Sec 5 for the state-registered investment adviser. Section DFI-Sec 5.03 covers recordkeeping requirements, including client suitability documentation. Section DFI-Sec 5.04 covers reporting requirements. Section DFI-Sec 5.05 covers contract and practice rules, including requirements for client contracts.