Approved IAR CE Courses

Over the last few years, there have been increased tax and regulatory complications that clients must navigate in order to make their legacy and estate-planning strategies fulfill their desired intent.

This session examines how financial advisors can incorporate a life-first perspective into the financial planning process. Drawing on behavioral science and life planning principles, the presentation explores how client decisions are shaped by competing priorities, inherited expectations, and personal values. Participants will learn a practical framework for facilitating deeper client conversations that clarify what matters most and align financial strategies with meaningful life goals. The session emphasizes how advisors can move beyond purely technical optimization to help clients make financial decisions that support purposeful and intentional living.

The global dynamics of valuations & earnings tell a unique story of investment opportunity, especially when "risk" is brought into focus. Equity & bond markets are giving them appearance of a low risk environment. Geopolitical & Sovereign fundamentals are forecasting a different view. If risk is defined as an impairment of capital, the importance of "Scarcity Value" should stand at the forefront. Scarcity Value is best represented by the durability of an asset or a business model and should be understood and invested in as a diversifier from the passive approach of SPY.

How to take advantage of three game-changing trends shaping our economy and rewriting the rules of wealth building – deglobalization, artificial intelligence, and fiscal dominance.

NASAA, FINRA, the SEC, industry groups, and courts have all made significant changes to the rules related to investment advisers and their investment adviser representatives ("IAR's")during 2024 and 2025. IAR's should know and understand how these recent developments affect the following areas, among others:Prior to the FinCEN Final Rule, there were no Federal or State regulations requiring IAs to maintain AML/CFT programs, including a CIP program or records under the Bank Secrecy Act (BSA);The amendments to Regulation S-P enhance the protection of consumer financial information by broadening the scope of information covered by Regulation S-P's requirements for covered institutions, inter alia broker-dealers,and investment advisers;Amendments to Regulation S-P will likely require modifications to cybersecurity programs; andUpdated Security Policy Templates are available on The Web - In partnership, the Cybersecurity Risk Foundation (CRF) and SANS have created a library of free cybersecurity policy templates to help organizations quickly define, document, and deploy key cybersecurity policies. The templates were updated April 15, 2025.