Approved IAR CE Courses

Over time, IRAs have become extremely important for many Americans saving for retirement. This Review thecourse will review the history of retirement accounts in the U.S., starting with the Social Security Actand defined-benefit plans, and finishing with the Employee Retirement Income Securities Act of 1974 (ERISA). The rules for fiduciaries and custodians that were established in ERISA will be examined, followed by an explanation of fiduciary and suitablity rules for invesment advisers and broker-dealers. The course will conclude with a review the tax rules for inherited IRAs.

This course covers complex products and the concerns regulators have about them. The course begins by broadly defining complex products, and describing several types, including structured products, principal protected notes, market-linked CDs, leveraged and inverse ETFs, publicnon-listed REITs, variable annuities, alternative mutual funds, and private placements. The course also describes the risks of these complex products and the responsibilities of brokers and IARs with respect to recommending them to investors.

The course for CFP and CPA financial planning professionals focuses on equipping fiduciaries with essential skills to evaluate, justify, and manage life insurance policies under best-interest regulations. Participants learn about cost-transparency, policy illustrations, and diversification strategies, ensuring recommendations align with fiduciary standards like those outlined by FINRA and the Uniform Prudent Investor Act. The class also emphasizes leveraging independent research tools like Veralytic and using stochastic modeling to assess long-term policy viability. This ensures practitioners can confidently navigate the complex life insurance landscape, protecting client interests and complying with evolving industry regulations.

You only get one chance to make a great first impression, and research shows that your clients’ experience in the first 100 days determines the longevity of their professional relationship with you. Libby will walk us through the 3 components that create a next-level onboarding process and how to implement it in your practice immediately so that you can turn prospects into clients and clients into referral-generating machines.
Once you get this formula down, your referrals will skyrocket, your communication issues will evaporate and your clients will confirm that their onboarding experience set you apart from any other financial professionals they had ever worked with. And, it’s easier than you think.

We will hear from three thought leaders in the market strategy, investment insights, and research. This session gives each panelist time to provide their framework and insights on the global market and economy. Through their presentations and time for question & answer, the session is intended to educate financial professionals on developments within the markets and how it affects various investments and asset classes and their client portfolios. Their ideas shared will help to present information through charts and graphs, helping advisors address the markets and the economy to support their efforts to help clients make sound investment decisions.

This course offers a deeper understanding of the present state of securities regulation by exploringthe historical evolution and context of our dual state and federal regulatory system. Conceptsand terminology are presented for a broad range of legislative and regulatory developments.The course covers the emergence of blue sky laws, the formation of NASAA, the advent offederal securities laws, NASAA model rules and legislation, and the events that prompted thesedevelopments. The evolving relationship between state and federal regulators is discussed.The origin and purpose of FINRA, SIPC, and national securities exchanges are also covered.The course concludes by identifying some recent developments and future trends in securitiesregulation.

In this continuing education session, learners will review 2 Nerd’s Eye View blog articles: Why Clients Hire “Human” Advisors In The Age Of AI: How Advisors Can Positively Influence Clients’ Emotional States and 10 Charts To Address Client Concerns On 2026 Geopolitical Conflict, Rising Oil Prices, Tariffs, Inflation, And More.

In the first article, Ben Henry-Moreland explains why human financial advisors remain valuable in an era of advancing AI, emphasizing that clients seek emotional connection, trust, and behavioral support beyond technical advice. In the second article, James Liu explains how financial advisors can help address client concerns about the current political and economic climate with data-driven talking points and charts.

This course equips investment adviser representatives with practical strategies to uphold fiduciary duty, manage conflicts of interest, and navigate the SEC's Code of Ethics requirements. Through real-world scenarios and current regulatory guidance, participants will strengthen ethical decision-making, address emerging challenges like AI and digital communications, and contribute to a culture of compliance that builds lasting client trust.

The SEC’s modernized Marketing Rule significantly changed how registered investment advisers can promote their services, and regulators continue to scrutinize marketing practices closely during examinations and enforcement actions. In this session, securities attorney Michelle Atlas-Quinn will break down the key requirements of the rule and explain how advisors can structure compliant marketing programs in 2026. The program will clarify what qualifies as an advertisement under the rule, review prohibited statements that may be considered misleading, and explain the regulatory requirements governing testimonials, endorsements, and promoter relationships. Michelle will also examine the complex rules surrounding performance advertising, including the presentation of gross and net performance, the limitations on hypothetical performance, and the documentation firms must maintain to support marketing claims. The session will also address third-party ratings, social media considerations, and the expanded books-and-records obligations under the rule, while reviewing recent enforcement actions that illustrate how regulators interpret these requirements in practice.