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.

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 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.

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.

This course provides a comprehensive overview of the new SEC Marketing Rule for investment advisers. It covers the key components of the rule, including the expanded definition of "advertisement", general prohibitions, requirements for testimonials, endorsements, and third-party ratings, performance advertising standards, and recordkeeping obligations. The course also discusses the impact of the rule on investment advisers' compliance efforts, marketing strategies, and the overall competitive landscape. Through hypothetical case studies, participants gain practical insights into how to navigate the new rule effectively and develop compliant marketing practices that benefit both advisers and investors.