Approved IAR CE Courses

This presentation provides education on succession planning as a core component of risk management and long-term estate planning for RIA owners. Attendees will learn how the absence of a clear succession strategy can create risks for clients, firm continuity, and enterprise value, and how to evaluate internal and external transition options through a planning lens.

OpenAI Codex provides sudden acceleration of financial advisor productivity. It's a breakthrough.
Financial planners can use Codex to improve client outcomes by:
automating creation of spreadsheets
converting spreadsheets into textual analysis you can review and share with clients
converting portfolio reports data into personal updates on a financial plan
consolidating and analyzing data from disparate sources

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 more clients consider senior living options, financial advisors are increasingly expected to guide them through both the financial and tax implications of these decisions. Continuing Care Retirement Communities (CCRCs), in particular, present unique planning opportunities—and potential pitfalls—when it comes to medical expense deductions and tax-efficient funding strategies.

In this highly practical session, two leading experts—Larry Pon, CPA and Brad Breeding, CCRC Specialist—combine their expertise to help advisors confidently navigate this complex area.

Brad Breeding will lay the foundation by breaking down the different types of senior living arrangements, with a focus on CCRCs. He will explain the various contract structures, key decision factors, and what advisors should understand when helping clients evaluate these communities.