Approved IAR CE Courses

“Best Interest” in financial advising can mean various things, such as the most beneficial product, a duty of loyalty and care, or fair pricing. This course explores Regulation “Best Interest,” its meaning, origins, challenges, and its impact on broker-dealers and investment advisers in the financial industry.

This two-hour IAR CE course provides investment adviser representatives, supervisors, compliance professionals and investment adviser executives with a comprehensive overview of the SEC’s amendments to Regulation S-P. The course explains the key rule changes, including the requirement to adopt a written incident response program, enhanced customer notification obligations, and expanded oversight of service providers. Participants will gain practical guidance on implementing policies and procedures, updating compliance manuals, and conducting defensible internal reviews aligned with regulatory expectations. Through case studies, the course highlights common deficiencies and how firms can mitigate regulatory and operational risks. The course is designed to equip attendees with actionable steps to strengthen data protection, incident response, and vendor oversight practices within their organizations.

Regulation S-P is the backbone of client data privacy in the investment advisory space. Built on the foundation of the Gramm-Leach-Bliley Act (GLBA), it requires investment advisers to adopt policies and procedures designed to safeguard customer information and to provide transparency about how that information is collected, used, shared, and protected. The regulation isn't just about compliance - it's a reflection of the fiduciary duty advisers owe their clients and their clients' trust.This course outlines the essential elements of Regulation S-P and related privacy expectations, drawing from real-world enforcement actions, SEC guidance, and best practices. It is tailored for new and experienced advisers who want to confidently understand and apply the law to their day-to-day operations.

This course will focus on the regulations that affect investment adviser representatives (IARs).

This course explores how generative AI is reshaping the securities industry, from client communications and compliance oversight to trading strategies and risk management. Students will learn how artificial intelligence, machine learning, and large language models work, along with the regulatory obligations firms must follow when using AI tools. The course also highlights AI-driven fraud risks such as deepfakes and unregistered trading platforms, while providing safeguards to protect investors and firms. By the end, learners will understand both the opportunities and challenges of AI, and how to balance innovation with compliance and ethical oversight

This quiz includes the following articles: Maximizing Split-Interest Charitable Deductions With New Pooled Income Funds Over CRTs, and Can A Charitable Remainder UniTrust (CRUT) Truly Replace The Benefits Of The 'Stretch' IRA?

This quiz includes the following articles: (1) Equity Compensation Planning as a Niche: Market Opportunities and Differentiated Value and (2) Investing a Roth IRA in Early Stage Growth Companies without Violating Prohibited Transaction Rules

This quiz includes the following articles: Adjusting Monte Carlo Success Thresholds By Tolerance For Spending Volatility, Getting Comfortable Delaying Social Security With Six-Month 'Reversible' Delays, and Analyzing Net Unrealized Appreciation (NUA) Opportunities For Privately Held Company Employee Stock Ownership Plans (ESOPs)

This quiz includes the following articles: This quiz highlights a series of articles surrounding questions and other critical communication skills that advisors will want to consider in order to deepen and enrich client relationships through the financial planning process.