Approved IAR CE Courses

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.