Approved IAR CE Courses

This self-study continuing education course provides a comprehensive review of one of the most consequential SEC Division of Examinations 2026 priorities: whether investment recommendations are consistent with product disclosures and with each client's investment objectives, risk tolerance, and financial and personal background. Participants will learn the analytical framework examiners use, examine five specific sub-areas of heightened scrutiny, and apply the principles to realistic scenarios involving older investors, dual-hatted advisers, newly launched private funds, volatility-sensitive products, and advisers new to the private fund space.

This course, Supreme Court Rejects Key SEC Enforcement Method, examines the landmark Supreme Court decision that significantly curtails the SEC's ability to impose civil penalties through administrative proceedings. The course explores the ruling's constitutional foundation, particularly its reliance on the Seventh Amendment right to a jury trial, and its broader implications for financial professionals, regulatory agencies, and legal enforcement mechanisms. Participants will gain insight into how this decision reshapes SEC enforcement strategy, affects state regulatory agencies, and empowers defense attorneys in financial fraud cases. Additionally, the course discusses potential future legal challenges, including the possibility of further limitations on administrative enforcement across various federal and state agencies.

This month we review October blog articles. This quiz includes the following articles: Switching Between State And SEC Registration: Evaluating Options (And Requirements) For RIAs Nearing $100 Million RAUM and Extracting Actionable Takeaways From The SEC's Staff Bulletin Regarding An RIA's Standard Of Care.

This month, we review Nerd Eye's View blog articles: Caught Between Privacy Laws And Contracts: The Compliance Dilemma Of Taking Clients To A New Firm and The Liability Risk Of Giving Inadvertent Tax Advice (And How To Avoid It). In the first article, Nerd Eye's View guest contributor, Isaac Mamaysky, explains the legal and ethical concerns associated with client privacy when advisors move to new firms, considering their fiduciary duty, firm policies, and privacy laws at both the state and federal levels. In the second article, Ben Henry Moreland discusses the legal, ethical, and professional boundaries to consider when giving holistic financial advice with tax consequences, to avoid inadvertently offering tax advice.

As we wrap up the season of giving, it is time to plan for another year of client gifting. Gifting can be a major goal for a client's life and legacy, but this process can often lead to unexpected tax liabilities and reporting obligations. Advisors can add immense value by helping clients avoid common pitfalls associated with gifting and strategizing methods to structure gifts for tax efficiency. In this webinar, David Haughton, JD, CPWA' walks through 3 common methods of gifting (direct gifts, gifts in trusts, and gifts to 529 plans) along with their respective benefits, common pitfalls, tax implications, and gift tax reporting requirements. Furthermore, David contextualizes core gifting concepts, such as completed gifts, fair market valuations, Crummey powers, and basis planning, in common client circumstances, highlighting how advisors can think through how to fulfill a client's gifting goals while also thinking more broadly about the practical implications of each gifting strategy.

The current litigation explosion has created tremendous interest in asset protection. Not only does this area have financial and estate aspects, but it also directly impacts tax planning. This mini-course is designed to survey opportunities for asset protection that can arise during tax planning and to determine how to properly report such transactions.