Approved IAR CE Courses

This continuing education course develops the practical skills investment adviser representatives use
to implement and maintain an approved portfolio. It covers transition planning, order controls and execution
analysis, settlement and cash readiness, account reconciliation and corporate actions, portfolio data and
measurement, retirement transfers and distributions, tax-lot implementation, rebalancing, service monitoring,
operational disruptions, and effective-date change management. Original hypothetical cases require
participants to evaluate instructions, calculate account consequences, diagnose exceptions, and select
evidence-supported operational responses. Legal and tax requirements are carefully scoped to the relevant
person, account, transaction, and source; recommended controls and stipulated case assumptions are
distinguished from binding requirements.

This advanced text-only self-study course examines how investment adviser representatives protect clients
when organizational incentives, contested authority, uncertain evidence, and competing responsibilities
complicate professional judgment. Topics include accountability and escalation, supported client decisions,
suspected financial exploitation, dependency and professional boundaries, complaint investigations, equitable
remediation, speaking up, ethical supervision, succession fairness, public corrections, proportionate
monitoring, and integrated client-protection decisions. Original hypothetical cases require participants to
distinguish legal requirements from recommended ethical practices, evaluate competing interests, preserve
client agency, and select proportionate actions within appropriate authority. The course focuses on institutional
responsibility and client protection rather than repeating a foundational fiduciary course or teaching technical
product implementation

This advanced continuing education course examines the ethical and professional responsibilities of investment adviser representatives, with an emphasis on fiduciary duty and its application in modern advisory practice. Topics include duties of care and loyalty, conflicts of interest, disclosure, compensation and fees, client relationships, communications and marketing, investment recommendations, protection of client information, cybersecurity, emerging technology and artificial intelligence, and ethical decision-making in complex situations. Practical examples and case studies are used throughout the course to help investment adviser representatives identify ethical issues, evaluate competing obligations, and apply fiduciary principles to real-world advisory situations.