Approved IAR CE Courses

This month, we review October blog articles. This quiz includes the following articles: Helping Nervous Clients Understand The (True) State Of The Social Security System And What It Means For Their Retirement, Alternative Minimum Tax (AMT) Planning After TCJA Sunset: Preparing Clients To (Re)Encounter AMT After 2025, and Why Advertising 'Conflict-Free' Advice Could Violate The SEC's Marketing Rule.

This course provides financial professionals with a data-driven overview of today’s college admissions landscape, including key trends in selectivity, testing policies, and application strategies. Participants will learn how these changes impact planning considerations and how to incorporate admissions insights into more effective client conversations around education and financial planning.

This course has been developed to give financial and insurance professionals a complete guide to understanding annuities, annuity tax laws and contract structure

This course has been developed to give financial and insurance professionals a complete guide to understanding annuities, annuity tax laws and contract structure, and their suitability ethicalmarketing practices and Senior Fraud

This course provides an overview of the procedures and objectives of a Wisconsin Division of Securities examination of a state-registered investment adviser. It also reviews common deficiencies found by the Division and how advisers can take steps to prevent them.

The Bernie Madoff scandal in 2008 cast new light on an age-old challenge for investors, financial professionals, and regulators. Too often, our psychological and procedural defenses are set up to detect threats from the outside'burglars, hackers, corporate espionage attacks, fraudulent robo-callers, strangers in our midst. But how do we defend ourselves from the trusted criminal'the admired and respected high-achiever who wins our trust, and then betrays us? A better understanding of how Madoff's fraud worked can inform a smarter approach to this hazard for all investors and for everyone trying to keep investors safe from such predators.

This course guides Investment Adviser Representatives (IARs) through trading-compliance requirements under the Advisers Act. You'll learn how fiduciary duties of loyalty and care drive best execution - balancing cost, speed, and research quality - and monitoring trade allocations to ensure fairness. The curriculum covers Rule 204A-1 personal-trading controls, including access-person reporting and pre-approval workflows, as well as principal and cross-trades. In the final module, you'll explore Section 28(e) soft-dollar rules and Rule 204-2 recordkeeping to maintain a comprehensive audit trail. Enforcement case studies and 2025 exam priorities underscore the importance of rigorous documentation to protect client interests.

This self-study course provides a comprehensive exploration of ethical considerations in investment adviser fee structures and compensation models. It emphasizes the principles of transparency, fairness, and fiduciary duty in disclosing compensation practices to clients. The course examines common fee structures, conflicts of interest arising from revenue sharing and 12b-1 fees, and outlines best practices for clear and complete disclosures. Through case studies, regulatory guidance, and ethical frameworks, participants will strengthen their ability to align compensation models with fiduciary obligations and client trust.