Approved IAR CE Courses

The purpose of this course is best described in the learning objectives. The instructor breaks downthe meaning of ethics and the associated requirements of the investment adviser representative.He explains what it means to be a fiduciary and the requirements associated with that. The coursedescribes the SEC's IA Code of Ethics and the NASAA Model Rule 102(a)(4)-1.

Attached

This course, based on the I Too Invest podcast episode Opportunities Abound in Protecting Marginalized Communities: Building Capacity, explores systemic barriers to financial access through the lived experiences of DEI consultant Theaston White. Learners will gain insight into how bias, leadership, and institutional practices impact marginalized communities. The course emphasizes inclusive client interactions, authentic leadership, and strategies for building generational wealth. It is designed for professionals in regulatory and financial sectors seeking to advance equity and inclusion in their work

This course provides a concise overview of the Investment Adviser Representative (IAR) Continuing Education (CE) requirements. Participants will explore the history and purpose of the IAR CE rule, understand basic requirements across categories such as Products and Practice and Ethics and Professional Responsibility, and learn to identify approved course providers.The course will also cover managing and tracking CE credits using tools like FinPro, as well as navigating professional designations and dual registration. Knowledge assessments will reinforce learning, equipping participants to confidently comply with IAR CE requirements.