Approved IAR CE Courses

This course is about business continuity planning. Additionally, this course investigates theorigins of business continuity planning and the historical events that helped shape business continuity planning. It then uses these events as a lens to understand better the importance of having a business continuity plan (BCP) and the regulations relevant to BCPs. Additionally, this course covers regulatory guidance relevant to creating a business continuity plan (BCP). Finally, it describes the process of succession planning and why it is important to business continuity planning.

This course provides an ethical model for investment adviser representatives (IARs) basedupon government legislation, self-regulatory rules organization (SRO) rules, and regulatorybest practices. It includes an introduction to ethical theory, ethics, and conflicts of interest withinthe securities industry, and current ethical issues in the marketplace. This course focuses on anIAR's requirements acting in a fiduciary capacity and provides examples on how that can beseen in practice. The course offers possible motivations for "white collar" crime and detailssteps to take when struggling with ethical dilemmas. The course concludes with a review of common unethical business practices presented to IARs and how to mitigate them.

This course provides a comprehensive guide to navigating the complex world of business succession and estate planning. Explore strategies for crafting effective buy-sell agreements, tax-efficiently passing businesses to heirs, and leveraging trusts and valuation discounts for closely held entities. Delve into planning for unique circumstances, including special needs beneficiaries, non-U.S. citizens, and digital assets. Learn how to use life insurance for funding buy-sell agreements, protecting key personnel, and addressing estate tax liquidity needs. Additionally, the course covers Roth conversions, managing highly appreciated assets, and strategies for minimizing state-level estate and inheritance taxes. Designed for professionals and advisors, this program equips you with actionable tools to create tailored, tax-savvy plans for clients with diverse needs.

This course will address core compliance considerations for Investment Adviser Representatives (IARs) contemplating buying or selling a client list or an investment adviser entity. The course will cover essential topics including fiduciary duties, regulatory requirements, and best practices for seamless transitions. Participants will gain insights into federal and state laws, privacy and confidentiality concerns, and the importance of due diligence. The course will also explore various types of transactions, such as asset purchases and mergers, and their compliance implications. By the end of the session, attendees will be equipped with the knowledge to manage client relationships ethically and effectively during the sale or purchase process.

This course will discuss ethical challenges and fraudulent activities that investment advisers may face. It will discuss ethical obligations and case studies of moral failures, fraud, scams, and schemes in the financial services industry.

Ethics CE: A Practical Application of CFP Board's Code and Standards fulfills the two-hour requirement for CFP Board-approved Ethics CE. The program is designed to educate CFP professionals on CFP Board's current Code of Ethics and Standards of Conduct, which went into effect on July 1, 2024.

This course provides investment adviser representatives, CFPs, CPAs, and other financial planners with timely insights into Federal Reserve policy, U.S. economic growth, and stock market fundamentals. Using September 2025 data, Fritz Meyer analyzes weak job formation, construction spending, and inflation trends alongside stronger retail sales, household net worth, and GDP forecasts. Attendees learn how earnings estimates, valuation ratios, and record stock prices shape long-term portfolio strategy in light of global economic challenges. The session integrates key slides, transcript highlights, and interactive MCQs to reinforce understanding of core learning objectives. By the end, participants gain practical, research-based knowledge to strengthen economic outlooks, client communication, and portfolio decision-making in a fee-only business model.