Approved IAR CE Courses

This continuing education course explores the critical intersection of artificial intelligence technology and regulatory compliance in the investment advisory industry. Participants will gain practical knowledge to ensure their firm's AI usage complies with SEC regulations, FINRA rules, and state securities laws. The course covers essential topics including privacy requirements, oversight obligations, fiduciary duties in AI-assisted decision making, and the evolving regulatory framework governing AI use in financial services. Through examination of recent enforcement actions, SEC risk alerts, and practical implementation strategies, participants will learn how to balance innovation with regulatory compliance and client protection.

Interval funds, tender-offer funds, non-traded BDCs and REITs, and registered funds of private funds now reach retail clients who could not buy them a few years ago. This course explains how each structure works, what limits a client’s ability to get money out, and how fair-value pricing and layered fees affect what the client sees and pays.

It then applies the fiduciary duty to a specific client and covers the documentation, disclosure, communication, and supervision practices examiners expect. Three case studies close the course.

This self-study continuing education course introduces investment adviser representatives to the foundational ethical and regulatory principles governing client privacy and data security. Designed for IARs new to the profession or those seeking a refresher on core concepts, the course frames privacy not as a technical compliance burden but as a pillar of the fiduciary relationship. Participants will learn why client confidentiality is foundational to investment advice, how Regulation S-P and related rules translate that ethical obligation into specific operating requirements, and what everyday behaviors protect — or compromise — client trust. The course uses scenarios drawn from common advisory settings to help participants recognize privacy risks before they become incidents.

This self-study continuing education course builds on the foundational principles of client privacy to address the ethical and operational complexities that experienced investment adviser representatives encounter in modern practice. The course examines the SEC's 2024 amendments to Regulation S-P — including the new incident response and customer notification requirements — and explores how ethical obligations evolve as advisory firms adopt cloud services, work with vendors, integrate artificial intelligence tools, and respond to cybersecurity incidents. Participants will analyze the ethical dimensions of vendor due diligence, examine the duties that arise when a privacy breach occurs, and apply judgment to ambiguous scenarios where regulatory requirements and ethical obligations diverge. The course assumes prior exposure to Regulation S-P fundamentals and is designed for IARs, compliance officers, and operations personnel with several years of advisory experience.

This comprehensive continuing education course provides investment advisers with an in-depth examination of ethical principles, fiduciary responsibilities, and regulatory compliance requirements governing the investment advisory profession. The course explores the foundational concepts of investment adviser ethics established under the Investment Advisers Act of 1940 and their practical application in modern advisory practice.Participants will develop a thorough understanding of fiduciary duty requirements, including the duty of loyalty and duty of care, and learn to identify, disclose, and manage conflicts of interest effectively. The course emphasizes practical application through real-world scenarios, case studies, and current regulatory enforcement trends. Special attention is given to emerging challenges in the digital age, including technology considerations, cybersecurity requirements, and evolving client communication standards.

This comprehensive course is designed to educate investment adviser representatives on emerging investment products and associated risk management strategies in the modern financial landscape. The curriculum covers key areas including digital assets, ESG investments, structured products, and alternative investments, while providing detailed instruction on risk management fundamentals, regulatory compliance requirements, and best practices for implementation. Through the course, participants learn about sophisticated risk assessment techniques, portfolio management strategies, and the integration of new investment products within traditional portfolio frameworks. The material emphasizes fiduciary responsibilities, regulatory compliance, and effective client communication, particularly regarding complex products and their associated risks.

This course equips investment adviser representatives with the ethical framework and practical tools needed to serve senior clients effectively while protecting them from financial exploitation. Participants will explore the evolving regulatory landscape for senior investor protection, including FINRA Rules 2165 and 4512, SEC fiduciary standards, and NASAA Model Rules. The course examines enhanced suitability considerations unique to older investors, ethical communication strategies, and the proper use of trusted contact persons. Participants will learn to recognize warning signs of diminished capacity and financial exploitation, understand mandatory reporting obligations and Senior Safe Act protections, and implement appropriate response protocols that balance client autonomy with protection obligations. Through practical case studies covering scenarios from uncharacteristic withdrawals to romance scams to family disputes, participants will apply a four-step ethical decision-making framework and develop best practices for firm-level senior investor protection programs. IARs will leave with the skills to navigate the complex ethical challenges that arise when advising America's growing senior investor population.

This comprehensive course provides registered investment advisers (RIAs) with essential knowledge of fiduciary obligations and ethical practices required in the financial services industry. Participants will explore the highest standard of care in equity and law, examining how fiduciary duty ensures investment advisers act in their clients' best interests while maintaining trust and integrity in the financial system.The course covers the legal and ethical foundations of fiduciary duty, practical applications of acting in clients' best interests, prudent investor standards aligned with modern portfolio theory, and suitability requirements specific to RIAs. Participants will also learn to identify, manage, and resolve common conflicts of interest while building ethical decision-making frameworks for their practice.

For most clients, the years around retirement bring the largest and least reversible financial decisions of their lives: what to do with an employer plan balance, when to claim Social Security, whether to take a pension as a lump sum, and how to turn savings into income that lasts. An IAR cannot advise on those decisions without a working knowledge of the products and rules involved.

This course covers the risks that define retirement income planning, the main sources of retirement income, the distribution rules as amended by the SECURE Act and SECURE 2.0, and the common withdrawal strategies. It then covers the rollover decision in detail: the four options for a plan balance, the factors SEC staff expects advisers to consider, the rules that can make a rollover costly for a particular client, and the mechanics of moving money correctly. The final module gives IARs a six-step process for analyzing and documenting a rollover recommendation.

The course is educational and product-neutral. A companion Ethics and Professional Responsibility course, The Rollover Conflict: Ethics in Retirement Income and Rollover Advice, covers the ethical side of the same decisions. The two courses do not repeat each other.

This comprehensive course equips investment advisers with essential knowledge on key compliance requirements, including Form ADV disclosures, advisory contracts, communication standards, recordkeeping obligations, and supervision practices. Participants will learn current regulations, industry standards, and best practices necessary for maintaining effective compliance programs. The course provides practical guidance to help registered investment advisers (RIAs) meet their regulatory obligations and operate within regulatory frameworks.