Approved IAR CE Courses

FINRA recently implemented a rule to address elder financial abuse and potential conflicts of interest when registered persons are named beneficiaries or hold positions of trust for customers. Member firms have updated policies and provided training on this rule. This course explains the rule, its purpose, and the customer abuses it aims to prevent, detailing the environment and sanctions related to these concerns.

SEC examinations can be one of the most stressful regulatory events for registered investment advisers, but firms that understand the process and maintain strong compliance practices can significantly reduce risk. In this session, securities attorney Michelle Atlas-Quinn will explain how SEC exams work, what regulators are looking for, and how advisors can prepare their firms before an examination request arrives. The program will review common compliance deficiencies identified during examinations, including issues related to marketing, disclosures, fiduciary obligations, custody, and safeguarding client information. Michelle will also discuss the SEC’s 2026 examination priorities, including cybersecurity, Regulation S-P requirements, identity theft protections, emerging financial technologies such as AI and automated investment tools, and anti-money laundering expectations. Advisors will leave with practical strategies for strengthening compliance programs, organizing documentation, and navigating the examination process from the initial request letter through the resolution of deficiency findings.

The goal of the course is to provide guidance to firms on the annual updating amendments forboth the ADV Part 1 and the Part 2A (including supplemental Part 2B). The course will coverbest practices for reviewing the annual filings to determine what changes may need to be made based on common deficiencies noted during Division examinations. Additionally, the topics will include the interrelations between different Items and different forms and what to take into consideration when amending these filings. The modules will conclude with the timing of the filings (within 90 days of the end of the fiscal year) and the requirement to also provide a summary of material changes and the offer of the full disclosure brochure within 120 days following the end of the fiscal year.

Preserving HSA Eligibility And Maximizing Contributions After Age 65 and Implementation Questions To Properly Prioritize And Address To-Dos For Consistent Follow-Through

RIAs have the unique ability to potentially protect clients from financial abuse and exploitation. The Presenters describe how to identify the red flags of client abuse and financial exploitation, knowing when to report abuse to relevant authorities, and understanding powers of attorney.

Making the right decision regarding employees, colleagues, and coworkers can be a balancing act. Some people have a hard time discerning the difference between appropriate (legal) and inappropriate (illegal) behavior in the workplace. Federal and state laws exist to protect victims of harassment, outlining what practices are prohibited and imposing penalties for violation of those laws. This course covers those federal laws, as well as state-specific requirements for the states of California, Connecticut, Illinois, and New York. We are going to look at the laws focused on prevention of harassment and discrimination in the workplace. Guidance will be provided through examples to assist you on staying on the right side of the line drawn between right and wrong.