Approved IAR CE Courses

The course on the New SEC AML Rule for Investment Advisors provides a comprehensive overview of the recently mandated Anti-Money Laundering (AML) and Counter-Terrorism Financing (CFT) compliance requirements for Registered Investment Advisors (RIAs) and certain Exempt Reporting Advisors (ERAs). Participants will gain an understanding of the rule's scope, compliance expectations, and practical steps for implementation. The course emphasizes a risk-based approach to AML/CFT compliance, covering critical topics such as customer due diligence, suspicious activity monitoring, and operational impacts. Advisors will leave equipped with actionable insights to prepare for the rule's effective date on January 1, 2026.

This continuing education course is designed for financial and insurance professionals to deepen their understanding of Nonqualified Deferred Compensation (NQDC) plans

This continuing education course is designed for financial and insurance professionals to deepen their understanding of Nonqualified Deferred Compensation (NQDC) plans and ethical practices in the insurance industry. By the end of the course, participants will be equipped with comprehensive knowledge and practical skills to design, manage, and advise on NQDC plans effectively, while adhering to ethical standards and regulatory compliance.

In the wake of the OBBBA Act, estate planning strategy discussions are expected to shift away from a focus on estate tax avoidance to other benefits of estate planning. This session explores the use of non-grantor trusts to reduce taxable income, enhance access to deductions, and optimize charitable giving for clients who may not otherwise benefit from traditional estate tax strategies. Through practical examples and advanced planning insights, financial advisors will learn how to integrate these tools into their planning toolkit and apply them for clients at a broad range of wealth levels. Special attention is given to tax bracket management, the 199A QBI deduction, SALT deduction maximization, charitable strategies, and the importance of post-OBBBA planning collaboration among advisors, attorneys, and CPAs.

This month we review the November blog articles. This quiz includes the following articles: Maximizing Health Savings Accounts (HSAs) Tax Benefits With Adult Children Under Age 26, Establishing Solo 401(k) Plans For Self-Employed Workers: Options, Contribution Limits, Deadlines, And More!, and Tax Advice Restrictions For Financial Advisors: How To Offer Tax Planning And Remain In Compliance

In this continuing education session, learners will review the Nerd's Eye View article, Breaking Down The 'One Big Beautiful Bill Act': Impact Of New Laws On Tax Planning. In this article, Ben Henry-Moreland, Senior Financial Planning Nerd at Kitces.com, summarizes the provisions in the One Big Beautiful Bill Act (OBBBA) and explains how the bills could change individual and business tax planning from 2025 onward.

This quiz includes the following articles: How To Register Your RIA: State Vs SEC Registration And When Notice Filing Is Required and Upfront And Ongoing RIA Compliance Obligations Of State Vs SEC-Registered Investment Advisers

This course examines off-channel business communications from the standpoint of the individual investment adviser representative. It traces how the recordkeeping requirements of the Investment Advisers Act of 1940 collided with text messaging, social media messaging applications, and video conferencing, and explains what that collision means for the IAR who receives a client text on a Saturday night. The course treats the subject as an ethics and professionalism matter rather than a purely administrative one, addressing client boundary-setting, fiduciary detachment, data security, imposter and account-takeover risk, remediation of off-channel exchanges once they occur, and the current direction of regulatory reform. Short, real-world advisor scenarios appear throughout to connect rule text to daily practice.