2026 Ethics in Action is a 6-hour continuing education course designed to meet NASAAs ethics-related CE requirements while equipping Investment Advisor Representatives (IARs) with practical tools to navigate the complexities of modern financial advising. Through 27 comprehensive chapters, the course covers fiduciary responsibilities, transparency, cyber security, emerging technologies like blockchain and AI, ESG investing, and regulatory compliance. Participants will engage with real-world case studies, knowledge checks, and actionable strategies to build trust, manage risks, and adapt to evolving industry challenges. This course is ideal for IARs seeking to strengthen ethical decision-making, meet regulatory standards, and enhance client relationships, earning 6 CE credits upon completion to meet the Ethics CE requirement.
Business Entities Decoded: A Financial Advisor’s Guide to Entity Structure, Planning, and Client Opportunity is a continuing education course for investment adviser representatives and other financial professionals who advise business-owner clients. The course explains the primary American business entity types — including sole proprietorships, general partnerships, limited partnerships, LLPs, LLCs, S corporations, C corporations, and professional entities — through a practical four-lens framework: operations, management and control, taxation, and liability. Learners will examine how entity structure affects retirement plan design, buy-sell planning, key person insurance, succession, self-employment and payroll tax exposure, liability protection, and advisory referrals. The course also addresses cross-entity planning issues such as administrative LLC structures after Connelly v. United States, entity conversion planning, and the advisor’s role in identifying planning gaps and coordinating with legal and tax professionals.
'Ethics in Action' is a 6-hour continuing education course designed to meet NASAA's ethics-related CE requirements while equipping Investment Advisor Representatives (IARs) with practical tools to navigate the complexities of modern financial advising. Through 27 comprehensive chapters, the course covers fiduciary responsibilities, transparency, cyber security, emerging technologies like blockchain and AI, ESG investing, and regulatory compliance. Participants will engage with real-world case studies, knowledge checks, and actionable strategies to build trust, manage risks, and adapt to evolving industry challenges. This course is ideal for IARs seeking to strengthen ethical decision-making, meet regulatory standards, and enhance client relationships, earning 6 CE credits upon completion to meet the Ethics CE requirement.