Account Recommendations and Retail Investors (IAR CE)

Estimated time to complete: 50 minutes
Required score on assessment: 70%
Attempts permitted on assessment: 3 Attempts
Optional survey included

Description: Along with examining the differences between brokerage and advisory accounts, this course will emphasize the importance of providing investors with full and fair disclosure of conflicts of interest as well as adhering to the provisions of Reg BI.

Ethical Decision Making for IARs 2.0 (IAR CE)

Estimated time to complete: 50 minutes
Required score on assessment: 70%
Attempts permitted on assessment: 3 Attempts
Optional survey included

Description: In an advisory relationship, it’s extremely important for an investment adviser to consistently demonstrate an ethical approach. This course will examine an investment adviser’s fiduciary responsibility as well as the requirement to create and implement a code of ethics.

Ethics and Trading by Investment Advisers (IAR CE)

Estimated time to complete: 50 minutes
Required score on assessment: 70%
Attempts permitted on assessment: 3 Attempts
Optional survey included

Description: Investment advisers must act ethically when executing trades for their customers, but also must ensure that their representatives minimize or disclose conflicts of interest and don’t trading on material, non-public information. This course will address these concerns as well as the manner in which trades are executed.

Insider Trading and Investment Advisers 2.0 (IAR CE)

Estimated time to complete: 50 minutes
Required score on assessment: 70%
Attempts permitted on assessment: 3 Attempts
Optional survey included

Description: This course examines the ethical issues that impact investment advisers and their representatives as it relates to the trading on material, non-public information. A specific focus will be on the filings that investment advisers must make related to the activities of their IARs.

NASAA and Protecting Clients (IAR CE)

Estimated time to complete: 50 minutes
Required score on assessment: 70%
Attempts permitted on assessment: 3 Attempts
Optional survey included

Description: As one of the oldest organizations devoted to protecting investors, NASAA’s regulatory framework impacts both broker-dealers and investment advisers. The course will examine the Uniform Securities Act as well as model rules and statements of policy to understand the importance of state securities laws.

Regulation Best Interest 2.0 (IAR CE)

Estimated time to complete: 50 minutes
Required score on assessment: 70%
Attempts permitted on assessment: 3 Attempts
Optional survey included

Description: Reg BI has increased the transparency of the relationship that retail investors have with broker-dealers and/or investment advisers. This course will analyze the key obligations established by Reg BI – Disclosure, Care, Conflict of Interest, and Compliance.

Ethics & Professional Responsibility 6 Hour IAR CE Bundle

Actively Managed ETFs (IAR CE)

Estimated time to complete: 50 minutes
Required score on assessment: 70%
Attempts permitted on assessment: 3 Attempts
Optional survey included

Description: For clients who are seeking a return that will exceed a benchmark based on the expertise of the portfolio manager, actively managed ETFs are an appealing investment. This course will examine the key terms, history, and structure of actively managed ETFS.

Asset Allocation (IAR CE)

Estimated time to complete: 50 minutes
Required score on assessment: 70%
Attempts permitted on assessment: 3 Attempts
Optional survey included

Description: To build an investment portfolio for a client, there are numerous client factors to consider. These factors will help an adviser determine the correct asset allocation for the client’s portfolio. This course will examine different investments as well as the importance of balancing risk and reward.

ESG Disclosure Requirements 2.0 (IAR CE)

Estimated time to complete: 50 minutes
Required score on assessment: 70%
Attempts permitted on assessment: 3 Attempts
Optional survey included

Description: For investors who believe in socially responsible investing, ensuring that a company complies with environmental, social, and governance (ESG) principles is important. This course examines the arguments for and against ESG investing, as well as the SEC’s attempts to standardize ESG disclosures.

IARs and Family Offices (IAR CE)

Estimated time to complete: 50 minutes
Required score on assessment: 70%
Attempts permitted on assessment: 3 Attempts
Optional survey included

Description: To save time and money, family offices take advantage of an exemption from registration under the Investment Advisers Act. This course will examine the primary purpose of family offices, as well as the various investments and strategies they utilize for their unique clients.

Interest Rates, the Economy, and Investments (IAR CE)

Estimated time to complete: 50 minutes
Required score on assessment: 70%
Attempts permitted on assessment: 3 Attempts
Optional survey included

Description: From homeowners to investors, interest rates are such an important factor when making decisions. This course will introduce the basic concept of interest, as well as interest rates and the history of lending. The relationship between the economy, interest rates, and the Federal Reserve will also be analyzed.

Investing in Hedge Funds (IAR CE)

Estimated time to complete: 50 minutes
Required score on assessment: 70%
Attempts permitted on assessment: 3 Attempts
Optional survey included

Description: Hedge funds are private investment pools that can pursue risky investments to generate high returns for their wealthy clients. This course will define important terms and examine the creation and history of hedge funds. Content also includes, hedge fund strategies, as well as their advantages and disadvantages.

Products & Practices 6 Hour IAR CE Bundle

Account Recommendations and Retail Investors (IAR CE)

Estimated time to complete: 50 minutes
Required score on assessment: 70%
Attempts permitted on assessment: 3 Attempts
Optional survey included

Description: Along with examining the differences between brokerage and advisory accounts, this course will emphasize the importance of providing investors with full and fair disclosure of conflicts of interest as well as adhering to the provisions of Reg BI.

Actively Managed ETFs (IAR CE)

Estimated time to complete: 50 minutes
Required score on assessment: 70%
Attempts permitted on assessment: 3 Attempts
Optional survey included

Description: For clients who are seeking a return that will exceed a benchmark based on the expertise of the portfolio manager, actively managed ETFs are an appealing investment. This course will examine the key terms, history, and structure of actively managed ETFS.

Asset Allocation (IAR CE)

Estimated time to complete: 50 minutes
Required score on assessment: 70%
Attempts permitted on assessment: 3 Attempts
Optional survey included

Description: To build an investment portfolio for a client, there are numerous client factors to consider. These factors will help an adviser determine the correct asset allocation for the client’s portfolio. This course will examine different investments as well as the importance of balancing risk and reward.

ESG Disclosure Requirements 2.0 (IAR CE)

Estimated time to complete: 50 minutes
Required score on assessment: 70%
Attempts permitted on assessment: 3 Attempts
Optional survey included

Description: For investors who believe in socially responsible investing, ensuring that a company complies with environmental, social, and governance (ESG) principles is important. This course examines the arguments for and against ESG investing, as well as the SEC’s attempts to standardize ESG disclosures.

Ethical Decision Making for IARs 2.0 (IAR CE)

Estimated time to complete: 50 minutes
Required score on assessment: 70%
Attempts permitted on assessment: 3 Attempts
Optional survey included

Description: In an advisory relationship, it’s extremely important for an investment adviser to consistently demonstrate an ethical approach. This course will examine an investment adviser’s fiduciary responsibility as well as the requirement to create and implement a code of ethics.

Ethics and Trading by Investment Advisers (IAR CE)

Estimated time to complete: 50 minutes
Required score on assessment: 70%
Attempts permitted on assessment: 3 Attempts
Optional survey included

Description: Investment advisers must act ethically when executing trades for their customers, but also must ensure that their representatives minimize or disclose conflicts of interest and don’t trading on material, non-public information. This course will address these concerns as well as the manner in which trades are executed.

IARs and Family Offices (IAR CE)

Estimated time to complete: 50 minutes
Required score on assessment: 70%
Attempts permitted on assessment: 3 Attempts
Optional survey included

Description: To save time and money, family offices take advantage of an exemption from registration under the Investment Advisers Act. This course will examine the primary purpose of family offices, as well as the various investments and strategies they utilize for their unique clients.

Insider Trading and Investment Advisers 2.0 (IAR CE)

Estimated time to complete: 50 minutes
Required score on assessment: 70%
Attempts permitted on assessment: 3 Attempts
Optional survey included

Description: This course examines the ethical issues that impact investment advisers and their representatives as it relates to the trading on material, non-public information. A specific focus will be on the filings that investment advisers must make related to the activities of their IARs.

Interest Rates, the Economy, and Investments (IAR CE)

Estimated time to complete: 50 minutes
Required score on assessment: 70%
Attempts permitted on assessment: 3 Attempts
Optional survey included

Description: From homeowners to investors, interest rates are such an important factor when making decisions. This course will introduce the basic concept of interest, as well as interest rates and the history of lending. The relationship between the economy, interest rates, and the Federal Reserve will also be analyzed.

Investing in Hedge Funds (IAR CE)

Estimated time to complete: 50 minutes
Required score on assessment: 70%
Attempts permitted on assessment: 3 Attempts
Optional survey included

Description: Hedge funds are private investment pools that can pursue risky investments to generate high returns for their wealthy clients. This course will define important terms and examine the creation and history of hedge funds. Content also includes, hedge fund strategies, as well as their advantages and disadvantages.

NASAA and Protecting Clients (IAR CE)

Estimated time to complete: 50 minutes
Required score on assessment: 70%
Attempts permitted on assessment: 3 Attempts
Optional survey included

Description: As one of the oldest organizations devoted to protecting investors, NASAA’s regulatory framework impacts both broker-dealers and investment advisers. The course will examine the Uniform Securities Act as well as model rules and statements of policy to understand the importance of state securities laws.

Regulation Best Interest 2.0 (IAR CE)

Estimated time to complete: 50 minutes
Required score on assessment: 70%
Attempts permitted on assessment: 3 Attempts
Optional survey included

Description: Reg BI has increased the transparency of the relationship that retail investors have with broker-dealers and/or investment advisers. This course will analyze the key obligations established by Reg BI – Disclosure, Care, Conflict of Interest, and Compliance.

Financial Services CE Exam Prep Packages

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Ethics & Professional Responsibility 6 Hour IAR CE Bundle

Products & Practices 6 Hour IAR CE Bundle

12 Hour Combined IAR CE Bundle

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SIE Combo Packages

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Ethics & Professional Responsibility 6 Hour IAR CE Bundle

Products & Practices 6 Hour IAR CE Bundle

12 Hour Combined IAR CE Bundle

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Credit type

CFP

CEYear

Account Recommendations and Retail Investors (IAR CE)

Ethical Decision Making for IARs 2.0 (IAR CE)

Ethics and Trading by Investment Advisers (IAR CE)

Insider Trading and Investment Advisers 2.0 (IAR CE)

NASAA and Protecting Clients (IAR CE)

Regulation Best Interest 2.0 (IAR CE)

Ethics & Professional Responsibility 6 Hour IAR CE Bundle

Actively Managed ETFs (IAR CE)

Asset Allocation (IAR CE)

ESG Disclosure Requirements 2.0 (IAR CE)

IARs and Family Offices (IAR CE)

Interest Rates, the Economy, and Investments (IAR CE)

Investing in Hedge Funds (IAR CE)

Products & Practices 6 Hour IAR CE Bundle

Account Recommendations and Retail Investors (IAR CE)

Actively Managed ETFs (IAR CE)

Asset Allocation (IAR CE)

ESG Disclosure Requirements 2.0 (IAR CE)

Ethical Decision Making for IARs 2.0 (IAR CE)

Ethics and Trading by Investment Advisers (IAR CE)

IARs and Family Offices (IAR CE)

Insider Trading and Investment Advisers 2.0 (IAR CE)

Interest Rates, the Economy, and Investments (IAR CE)

Investing in Hedge Funds (IAR CE)

NASAA and Protecting Clients (IAR CE)

Regulation Best Interest 2.0 (IAR CE)

12 Hour Combined IAR CE Bundle

Filter SIE Combo Packages
Selected Filter: