Investment Adviser Representative CE

This course equips advisors with the knowledge, tools, and frameworks needed to navigate the intricate ethical dilemmas that arise in the profession. Designed to promote ethical excellence, this course explores the principles of fiduciary duty, advanced reasoning techniques, and the nuances of maintaining trust in client relationships. Participants will be presented with real-world scenarios, case studies, and emerging challenges, such as navigating gray areas in regulatory guidance, managing conflicts of interest, and balancing personalized financial planning with fiduciary responsibilities. The course also emphasizes the importance of ethical leadership, organizational culture, and continuous professional growth, providing actionable strategies for fostering a client-first approach and addressing unconscious bias. This course includes audio.
NOTE: IAR CE courses cannot be repeated for credit. Duplicate completion credit(s) will not be accepted.

Dual Credit:

This course prepares Investment Adviser Representatives (IARs) to meet regulatory expectations for business continuity planning (BCP). Learners will explore key BCP components - data protection, communication protocols, office relocation, succession, and third-party risk management - with a focus on practical application and fiduciary responsibility. The course emphasizes real-world scenarios, compliance best practices, and the adviser's role in supporting plan execution. By course end, learners will be equipped to contribute to firm-wide continuity strategies that protect clients and ensure regulatory readiness.

This course includes audio. NOTE: IAR CE courses cannot be repeated for credit. Duplicate completion credit(s) will not be accepted.

Training Topics:

- Business continuity planning - Office relocation - Succession - Third-party risk management - Fiduciary responsibility

Dual Credit:

This course examines how artificial intelligence is becoming part of financial services, creating new efficiencies but also new potential risks for investment adviser representatives. It explains how AI fits within the existing regulatory framework, including fiduciary duties, the Marketing Rule, the Books and Records Rule, and Regulation S-P - framed through the lens of ethical responsibilities. Through examples, enforcement cases, and professional guidance, you will see that while technology may evolve, your ethical duties do not: the standards of care, honest and transparent disclosure, and protection of client data remain constant and must guide your judgment in practice.

This course includes audio. NOTE: IAR CE courses cannot be repeated for credit. Duplicate completion credit(s) will not be accepted.

Training Topics:

- AI in Advisory Practice - Regulatory Framework - Fiduciary Duty and AI (Ethical Risks & Judgment) - AI-Related Compliance Risks - Best Practices for Using AI Responsibly

In a rapidly evolving market, understanding the unique characteristics and compliance challenges of alternative investments is critical for fiduciary excellence. Alternative Investments: Fiduciary Focus equips advisers with a practical framework for integrating private equity, hedge funds, real estate, and other non-traditional assets while upholding fiduciary duties of care and loyalty. Through concise, real-world case studies and interactive exercises, learners will deepen their understanding of SEC guidance on disclosure requirements and conflict mitigation, apply ethical principles to fee analysis and liquidity assessments, and adopt best practices for thorough due diligence and documentation. By the end of the course, participants will be able to navigate compliance pitfalls and tailor alternative investment recommendations to client needs, aligning each proposal with fiduciary standards and sound due diligence practices.

This course includes audio. NOTE: IAR CE courses cannot be repeated for credit. Duplicate completion credit(s) will not be accepted.

Training Topics:

- Alternative Investments - Fiduciary Duty - Due Diligence - Portfolio Diversification - Liquidity Risk - Fee Structure - Conflict of Interest - Private Equity - ESG Integration - Regulatory Compliance

Dual Credit:

This course introduces Investment Adviser Representatives (IARs) to the new Anti-Money Laundering (AML) requirements under the Bank Secrecy Act. Participants will explore the rule's background, coverage, and 2028 compliance deadline, while learning the five pillars of AML programs, reporting and recordkeeping obligations, and practical steps for identifying and escalating red flags. Through examples and case studies, advisers will gain the knowledge needed to protect clients, safeguard their firms, and meet evolving regulatory expectations.

This course includes audio. NOTE: IAR CE courses cannot be repeated for credit. Duplicate completion credit(s) will not be accepted.

Training Topics:

- Anti-Money Laundering - Bank Secrecy Act - Reporting and recordkeeping obligations - Red flags

Dual Credit:

This course will review recent Anti-Money Laundering developments including regulatory guidance from the securities and banking industries, FATF cryptocurrency guidance, enforcement actions, and several case studies. By the end of the course, students will have a better understanding of the front-end of the regulatory environment and how money laundering is detected and prosecuted in modern cases. This course includes audio.
NOTE: IAR CE courses cannot be repeated for credit. Duplicate completion credit(s) will not be accepted.

Dual Credit:

This course is designed to provide investment advisers with a comprehensive understanding of cybersecurity threats, best practices for safeguarding client data, and compliance requirements within the financial services industry. Through this course, participants will gain insights into the latest cybersecurity trends, regulatory expectations, and real-world scenarios to enhance their ability to protect sensitive information effectively. This course includes audio.
NOTE: IAR CE courses cannot be repeated for credit. Duplicate completion credit(s) will not be accepted.

Dual Credit:

This course is intended for any financial advisors who already work with, or have plans to attract more business from, the youngest of the US working population - Millennials. They are a new breed of investors that require new methods of investing their money, different than the strategies used with their parents. Learning to understand millennials helps to understand their financial goals. This course prepares financial advisors to recognize and work with millennial clients the way they want to be worked with. It also discusses regulations surrounding social media and other off-channel communication platforms that millennials tend to navigate towards. Finally, the course walks through two important components that tend to come up frequently among millennial investors: cryptocurrency and ESG investing. This course includes audio.
NOTE: IAR CE courses cannot be repeated for credit. Duplicate completion credit(s) will not be accepted.

Dual Credit:

This course provides investment adviser representatives with a practical and comprehensive understanding of Form ADV requirements under the Investment Advisers Act of 1940. Learners will explore key components of Parts 1, 2A, 2B, and Form CRS, examine recent regulatory developments, and apply lessons from real-world disclosure failures. The course emphasizes best practices in communication, documentation, and client transparency. Through case studies and application scenarios, participants will develop the skills needed to recognize red flags, support timely updates, and contribute to a culture of compliance.

This course includes audio. NOTE: IAR CE courses cannot be repeated for credit. Duplicate completion credit(s) will not be accepted.

Training Topics:

- Form ADV - Form CRS - Recent regulatory developments - Best practices

Dual Credit:

This course is designed to equip investment advisors with the knowledge and tools necessary to align their marketing practices with the SEC's modernized IA Marketing Rule while fostering a strong commitment to ethics. Participants will explore the regulatory framework governing marketing communications, focusing on the rule's provisions for transparency, fairness, and accountability in advertising. The course delves into ethical considerations that underpin compliant marketing, such as balancing business goals with fiduciary responsibilities, mitigating conflicts of interest, and ensuring truthful representations of performance data. Advisers will learn to navigate complex challenges in marketing, including the use of testimonials, hypothetical performance, and AI-driven financial tools. The course also provide actionable strategies for developing robust compliance programs, leveraging technology to streamline processes, and responding effectively to SEC inquiries. Emphasis is placed on cultivating a culture of compliance and ethical leadership, empowering advisers to act with integrity while maintaining competitive marketing practices. This course includes audio.
NOTE: IAR CE courses cannot be repeated for credit. Duplicate completion credit(s) will not be accepted.

Dual Credit:

This course is intended for financial advisors, compliance officers, and FinTech professionals seeking to stay ahead of emerging challenges in AI and FinTech and lead with ethics in mind. Participants will explore key ethical concerns such as data privacy, algorithmic bias, accountability, and transparency. The course emphasizes the importance of embedding ethical practices into AI and FinTech applications to ensure compliance with regulatory requirements and build client trust. The course also covers governance tools such as ethics committees and frameworks like AI Ethics Guidelines and the NIST AI Risk Management framework. These resources provide practical steps for implementing ethical oversight in financial services, helping firms align their technological innovations with ethical principles and regulatory standards. Participants will also gain insights into the consequences of unethical practices and the benefits of proactive governance. This course includes audio.
NOTE: IAR CE courses cannot be repeated for credit. Duplicate completion credit(s) will not be accepted.

Dual Credit:

This course equips advisors with the principles, strategies, and tools needed to maintain the highest standards of integrity in every client interaction. Participants will explore the foundations of ethical communication, identify common challenges, and learn how to tailor messaging to individual client needs. The course covers topics such as cultural sensitivity, managing communication during market volatility, leveraging technology responsibly, and fostering a culture of transparency and accountability. This course offers essential guidance to help advisors excel in ethical client communication while enhancing professional credibility and client loyalty. This course includes audio.
NOTE: IAR CE courses cannot be repeated for credit. Duplicate completion credit(s) will not be accepted.

Dual Credit:

This course equips advisors with the knowledge and tools to navigate ethical challenges during times of financial crises and market volatility. Advisors will explore key ethical principles, such as transparency, accountability, and empathy, while learning how to manage client relationships under pressure. Through real-world case studies and actionable frameworks, participants will examine the complexities of balancing short-term decisions with long-term goals, addressing conflicts of interest, and using financial products responsibly. The course emphasizes best practices for ethical crisis management, including leveraging technology, understanding behavioral finance insights, and fostering a firm-wide culture of integrity. Advisors will also gain insights into emerging challenges, such as data privacy, sustainable investing, and the ethical use of artificial intelligence. This course includes audio.
NOTE: IAR CE courses cannot be repeated for credit. Duplicate completion credit(s) will not be accepted.

Dual Credit:

In a highly regulated profession built on trust, fiduciary duty isn't just a legal obligation - it's the foundation of ethical advising. Fiduciary Duty: Ethics and Compliance equips IARs with the practical knowledge to navigate today's ethical and regulatory landscape. This 1-hour course explores the SEC's guidance on the fiduciary standard, core duties of care and loyalty, conflict disclosure, and real-world case studies on ethical breaches. Learners will apply decision-making frameworks, understand the "fiduciary funnel," and strengthen their ability to align client-first values with day-to-day advisory decisions. Perfect for those committed to building long-term trust and minimizing compliance risks.

This course includes audio. NOTE: IAR CE courses cannot be repeated for credit. Duplicate completion credit(s) will not be accepted.

Training Topics:

- Fiduciary Duty - Duty of Care - Duty of Loyalty - Conflict of Interest - Ethical Decision-Making - Full Disclosure - SEC Guidance - Transparency - Code of Ethics - Client Trust

Dual Credit:

This course is designed to equip financial professionals with the knowledge and skills to navigate the changing investment landscape and capitalize on emerging opportunities. It delves into the most cutting-edge investment products and strategies reshaping the financial markets. Participants will explore the evolution and application of ETFs, Smart Beta strategies, and cryptocurrencies, alongside the growing importance of ESG investing. Alternative investments, such as private equity, real estate, and hedge funds, are also covered, highlighting their role in portfolio diversification. The course also examines the growing influence of robo-advisors and automated investment solutions, emphasizing their role in democratizing access to sophisticated financial tools. Risk management and compliance considerations are integral to the course material, offering insights into regulatory frameworks and strategies for mitigating risks. This course includes audio.
NOTE: IAR CE courses cannot be repeated for credit. Duplicate completion credit(s) will not be accepted.

Dual Credit:

This course is designed for investment advisors and financial professionals, and explores the ethical considerations, legal frameworks, and real-world implications of insider trading and market manipulation. It delves into the foundational principles of fairness, transparency, and integrity that underpin ethical market practices. Participants will gain a deep understanding of the regulatory landscape, including U.S. and international law, while examining case studies that highlight the consequences of unethical behavior. It emphasizes actionable strategies for fostering a culture of compliance, leveraging technology to detect and prevent violations, and addressing emerging challenges such as cryptocurrency markets and AI-driven trading. This course includes audio.
NOTE: IAR CE courses cannot be repeated for credit. Duplicate completion credit(s) will not be accepted.

Dual Credit:

Insider Trading Compliance Essentials is a one-hour, self-paced course designed for Investment Adviser Representatives. You'll master critical definitions - insider trading, MNPI, Rule 10b-5 - and learn to recognize real-world red flags in advisory work. Through ethical-duty discussions and anonymized enforcement case studies, you'll see how compliance lapses occur and which preventive controls - pre-clearance, restricted lists, digital safeguards, and a strong compliance culture - stop MNPI misuse before it happens. A culminating scenario lets you apply a step-by-step decision framework in real-time, reinforcing your ability to uphold fiduciary duties, protect client trust, and preserve market integrity.

This course includes audio. NOTE: IAR CE courses cannot be repeated for credit. Duplicate completion credit(s) will not be accepted.

Training Topics:

- Insider Trading - Ethics - Pre-clearance - Restricted lists - Digital safeguards

Dual Credit:

When the SEC takes action, it sends a clear message to the industry. Each enforcement case provides a real-world lesson in what effective compliance looks like and what happens when it falls short. This course walks you through case studies where firms failed to meet expectations, from undisclosed revenue-sharing arrangements to inadequate wrap fee monitoring. You will explore what went wrong, how it violated SEC rules, and what should have been done differently. The course also provides a practical explanation of key SEC rules, including fiduciary duty, Form ADV requirements, and the Marketing Rule, along with tools to help you recognize red flags and avoid common compliance mistakes. By learning from real enforcement outcomes, you will be better prepared to protect clients, support your firm, and strengthen your professional judgment.

This course includes audio. NOTE: IAR CE courses cannot be repeated for credit. Duplicate completion credit(s) will not be accepted.

Training Topics:

- SEC Enforcement - Trends and Case Lessons - Fiduciary Duties and Compliance for IARs - Avoiding Common Regulatory Violations

Dual Credit:

Managing IAR Conflicts Effectively is a practical, regulatory-focused course designed for Investment Adviser Representatives (IARs) who must navigate real-world conflicts of interest while upholding ethical and fiduciary standards. This course explores how compensation structures, product recommendations, and firm affiliations can create ethical dilemmas - and what IARs must do to disclose and mitigate these conflicts. Learners will gain a working knowledge of SEC expectations, Form ADV and Form CRS disclosure requirements, and supervisory best practices. Engaging examples and scenario-based reflections support the development of sound judgment and effective communication strategies. This course reinforces the importance of transparency, documentation, and ethical conduct in today's advisory landscape.

This course includes audio. NOTE: IAR CE courses cannot be repeated for credit. Duplicate completion credit(s) will not be accepted.

Training Topics:

- Conflicts of Interest - Fiduciary standards - Compensation structures - Product recommendations - Firm affiliations - Form ADV - Form CRS - Supervisory best practices

Dual Credit:

This course explores the compliance risks investment adviser representatives (IARs) face when using personal devices or communication channels not approved by their firm. It explains how regulatory requirements apply to everyday client interactions and shows how unapproved messaging can create recordkeeping failures, fiduciary duty concerns, and cybersecurity vulnerabilities. Through real-world enforcement examples and practical scenarios, IARs will learn strategies to keep communications compliant, protect client information, and strengthen professional integrity in today's remote and technology-driven work environment.

This course includes audio. NOTE: IAR CE courses cannot be repeated for credit. Duplicate completion credit(s) will not be accepted.

Training Topics:

- Off-Channel Communication Risks - Use of Personal Devices - Remote Work Challenges - Fiduciary Duty - Client Trust

Dual Credit:

This course provides investment adviser representatives with a practical and comprehensive overview of the SEC's Investment Adviser Marketing Rule. Participants will learn how the rule governs the use of testimonials, endorsements, and third-party ratings, along with performance advertising and hypothetical performance. The course highlights disclosure, oversight, and recordkeeping considerations, supported by real-world scenarios and recent enforcement examples. Designed for IARs in a variety of roles, this training focuses on actionable guidance to promote compliant, effective client communications. Upon completion, learners will be better equipped to avoid common pitfalls and support their firm's adherence to regulatory standards.

This course includes audio. NOTE: IAR CE courses cannot be repeated for credit. Duplicate completion credit(s) will not be accepted.

Training Topics:

- Marketing Rule - Third-party ratings - Performance advertising - Hypothetical performance - Recordkeeping

Dual Credit:

This course explores the transformative power of DEI within financial advisory firms, emphasizing its ethical implications and strategic advantages. Participants will gain a deeper understanding of how DEI principles foster innovation, enhance client relationships, and create equitable opportunities for employees. Through real-world case studies, actionable strategies, and regulatory insights, the course provides tools to integrate DEI into workplace cultures, client interactions, and long-term business strategies. This course empowers advisors, leaders, and compliance professionals to drive meaningful change, and position their firms as leaders in inclusivity and equity. By the end of the course, participants will be equipped with the knowledge and tools to create a more equitable financial ecosystem that benefits employees, clients, and the broader community. This course includes audio.
NOTE: IAR CE courses cannot be repeated for credit. Duplicate completion credit(s) will not be accepted.

Dual Credit:

Regulation SP Amendments: Ethics and Privacy is a one-hour, self-paced course designed for Investment Advisory Representatives. You'll explore the evolution of the Regulation S-P and the "Safeguards Rule," learn to recognize sensitive customer information, and assess its risk potential. Through real-world scenarios, you'll master a three-step breach response framework - recognize, escalate, notify - and develop client-focused communication strategies. The course then delves into fiduciary principles, such as care, loyalty, and diligence, to guide ethical decision-making, vendor oversight, and conflict mitigation. Finally, you'll implement practical controls, including 72-hour breach alert clauses and audit-ready documentation, ensuring your firm's data privacy measures are as robust and trustworthy as your financial advice.

This course includes audio. NOTE: IAR CE courses cannot be repeated for credit. Duplicate completion credit(s) will not be accepted.

Training Topics:

- Regulation S-P - Ethics

Dual Credit:

Regulation Best Interest (Reg BI) represents a significant shift in the regulatory landscape for investment advisors. This course is designed to provide investment advisors with a comprehensive understanding of Reg BI, its requirements, and how to effectively implement it in their practice. By mastering Reg BI, you'll not only ensure compliance but also enhance the quality of advice you provide to clients. This course includes audio.
NOTE: IAR CE courses cannot be repeated for credit. Duplicate completion credit(s) will not be accepted.

Dual Credit:

As the senior client population continues to grow, so does the importance of protecting this vulnerable group, which is frequently targeted for financial exploitation. In many cases, age-related factors may affect a client's ability to make sound financial decisions, making it the IAR's responsibility to remain vigilant, apply appropriate safeguards, and act in the client's best interest at all times. This course prepares IARs to meet their fiduciary duty when working with aging investors by recognizing red flags, documenting concerns, and applying SEC-compliant reporting protocols. You'll explore real-world scenarios, evolving regulatory expectations, and best practices for safeguarding vulnerable clients, including how to communicate effectively, identify diminished capacity, and respond to potential elder abuse. By the end of this course, you'll be equipped to act decisively, protect your clients, and ensure your actions meet today's heightened regulatory standards.

This course includes audio. NOTE: IAR CE courses cannot be repeated for credit. Duplicate completion credit(s) will not be accepted.

Training Topics:

- Fiduciary Duty - Senior Client Protocols - Diminished capacity - Elder abuse

Dual Credit:

This course equips investment adviser representatives with practical knowledge to recognize, respond to, and help prevent two of today's most pressing cybersecurity threats: ransomware and account takeovers. Participants will explore how evolving tactics, including AI-driven phishing, impersonation, and adaptive malware, challenge traditional defenses. The course highlights regulatory expectations, including SEC disclosure obligations, enforcement priorities, and fiduciary duties, while emphasizing the IAR's role in spotting red flags, escalating concerns through firm-approved channels, and reinforcing secure client practices. By connecting compliance responsibilities with everyday decisions and ethical considerations, the course underscores how vigilance and sound judgment help protect client assets and preserve trust.

This course includes audio. NOTE: IAR CE courses cannot be repeated for credit. Duplicate completion credit(s) will not be accepted.

Training Topics:

- Ransomware and Account Takeover Risks - Regulatory Expectations and SEC Enforcement - Evolving Threats and Artificial Intelligence - Practical and Ethical Responsibilities for IARs

Dual Credit:

This course equips investment adviser representatives with practical strategies to uphold fiduciary duty, manage conflicts of interest, and navigate the SEC's Code of Ethics requirements. Through real-world scenarios and current regulatory guidance, participants will strengthen ethical decision-making, address emerging challenges like AI and digital communications, and contribute to a culture of compliance that builds lasting client trust.

This course includes audio. NOTE: IAR CE courses cannot be repeated for credit. Duplicate completion credit(s) will not be accepted.

Training Topics:

- Code of Ethics - Emerging Ethical Challenges - Ethical Culture - Regulatory Compliance

Dual Credit:

This course guides Investment Adviser Representatives (IARs) through trading-compliance requirements under the Advisers Act. You'll learn how fiduciary duties of loyalty and care drive best execution - balancing cost, speed, and research quality - and monitoring trade allocations to ensure fairness. The curriculum covers Rule 204A-1 personal-trading controls, including access-person reporting and pre-approval workflows, as well as principal and cross-trades. In the final module, you'll explore Section 28(e) soft-dollar rules and Rule 204-2 recordkeeping to maintain a comprehensive audit trail. Enforcement case studies and 2025 exam priorities underscore the importance of rigorous documentation to protect client interests.

This course includes audio. NOTE: IAR CE courses cannot be repeated for credit. Duplicate completion credit(s) will not be accepted.

Training Topics:

- Trading - Duties of loyalty - Best Execution - Recordkeeping - Audit trail

Dual Credit:

This course is designed for financial professionals, advisors, and investors and delves into key alternative investments, including hedge funds, private equity, venture capital, real estate, commodities, cryptocurrencies, and structured products. Participants will gain a clear understanding of their unique characteristics, risk-return profiles, and role in portfolio diversification. This course highlights real-world applications to provide practical insights into successful strategies and potential pitfalls. Participants will explore the evolving legal landscape governing alternative investments and emphasizes the importance of due diligence, risk management, and aligning investments with financial goals. This course includes audio.
NOTE: IAR CE courses cannot be repeated for credit. Duplicate completion credit(s) will not be accepted.

Training Topics:

- alternative investments - hedge funds - private equity - venture capital - commodities -cryptocurrency - risk-return - portfolio diversificaion - real-world applications

Dual Credit: