Introduction to IAR CE (0.5 credits of Products and Practice)
Course Description: This course provides a concise overview of the Investment Adviser Representative (IAR) Continuing Education (CE) requirements. Participants will explore the history and purpose of the IAR CE rule, understand basic requirements across categories such as Products and Practice and Ethics and Professional Responsibility, and learn to identify approved course providers. The course will also cover managing and tracking CE credits using tools like FinPro, as well as navigating professional designations and dual registration. Knowledge assessments will reinforce learning, equipping participants to confidently comply with IAR CE requirements.
Ethics for Investment Adviser Representatives (1 credit of Ethics)
Course description: This IAR CE course is an ethics overview for investment adviser representatives. It will discuss an investment adviser’s fiduciary duties and provide details on how to identify and avoid conflicts of interest. After successfully passing the course assessment, this course will grant the IAR one credit of Ethics and Professional Responsibility credit. Upon registering for this course, you will be charged a non-refundable $3 reporting fee. Updated July 2024.
I Invest Too – Serving Neurodivergent Clients (3.5 credits of Ethics)
Course description: In this course, we will delve into best practices for serving neurodivergent individuals, including those with Autism Spectrum Disorder and various cognitive impairments. We will examine the diverse financial planning and investment requirements of these clients. Through case examples, we will highlight specific needs, potential challenges, and solutions tailored to this unique client base. After successfully passing the course assessment, this course will grant the IAR 3.5 credits of Ethics and Professional Responsibility credit. Upon registering for this course, you will be charged a non-refundable $10.50 reporting fee.
