Investment Adviser Representatives Continuing Education

Description: This course delivers practical guidance for investment adviser representatives who are seeking to meet fiduciary, ethical, and regulatory obligations. Through real-world case studies and clear frameworks, participants learn to manage conflicts of interest, implement transparent communication and documentation practices, safeguard client data, and design policies that satisfy SEC expectations.

Description: This course analyzes ESG investing by detailing how environmental, social, and governance factors, ethical frameworks, and disclosure rules impact risk, return, and corporate conduct. Coverage of rating methodologies, regulatory developments, and sector-specific case studies will equip IARs with the ability to identify material issues, spot greenwashing, and integrate ESG data into disciplined portfolio analysis.

Description: This course explains the functional and capability classifications of artificial intelligence and analyzes how advisory firms deploy robo-advisers, machine-learning portfolio tools, and related applications within fiduciary and regulatory constraints. Coverage includes the essential ethical framework, common AI-specific risks, and a compliance roadmap that embeds disclosure, controls, and supervisory procedures into an adviser’s code of ethics.

Description: This course examines the drivers of market volatility, client behavioral responses, and fiduciary obligations that govern advisory actions in turbulent periods. Instruction covers risk-management frameworks, communication techniques, regulatory documentation standards, and ethical trade-execution practices that safeguard client interests while maintaining compliance.

Description: The course clarifies how a fiduciary’s duties of care and loyalty differ from basic suitability standards and frames these obligations within Regulation Best Interest and Form CRS requirements. By detailing best-practice approaches to recommendations, conflict management, disclosure, and written compliance policies, the course demonstrates how investment advisers safeguard client interests and limit regulatory risk.

Description: This course examines the Prudent Man Rule’s evolution into the Uniform Prudent Investor Act, along with highlighting influences from ERISA, the Investment Advisers Act, and the Modern Portfolio Theory. The course provides details on how trustees balance diversification, liquidity, and credit considerations while adhering to fiduciary standards, but also identifies common violations such as self-dealing, commingling, and breaches of impartiality.

Description: This course presents a concise, data-driven examination of closed-end funds, with a focus on explaining their structure, trading mechanics, and the regulatory framework that differentiates them from mutual funds and ETFs. Content includes premium/discount dynamics, IPO pricing, leverage use, interval funds, BDCs, fund categories, and the associated tax considerations. Upon completion, IARs will be able to assess, compare, and position closed-end vehicles in a manner that’s consistent with fiduciary and compliance standards.

Description: This course examines the purpose for enacting ERISA and how its reporting, disclosure, participation, and funding standards govern private-sector retirement plans. Instruction covers fiduciary duties, Department of Labor enforcement, non-discrimination and vesting tests, plan types from defined-benefit pensions to PEPs, and the impact of SECURE Acts, CARES, and recent court rulings on fees and cybersecurity. The goal is to equip plan sponsors and advisers with the ability to apply statutory requirements, manage compliance risk, and structure plans that meet current federal guidelines.

Description: This course shows how financial analysis supports sound investment decisions. Fundamental and technical approaches will be contrasted while linking the balance sheet, income statement, and cash-flow statement to gauge liquidity, profitability, and solvency. Information is provided involving calculating core ratios, performing top-down fundamental analysis, and applying valuation methods. Quantitative findings are integrated with qualitative factors so that well-supported investment conclusions can be generated.

Description: This course examines the development of risk management and shows how derivatives (e.g., options, futures, forwards, swaps, and inverse ETFs) can offset market, interest rate, currency, and other systematic exposures. Hedge construction, option-premium drivers (delta, gamma, theta, vega), and the trade-offs between static structures and dynamically rebalanced portfolios will be examined. Practical examples illustrate protective puts, covered calls, collars, futures, and swap-based solutions for institutional mandates.

Description: This course examines the Investment Company Act’s core provisions as well as current SEC directives regarding the practical operation of mutual funds and other pooled vehicles. Readers will analyze fund governance, share-class cost structures, and NAV calculations, then apply quantitative tools (e.g., breakpoints, expense ratios, risk-adjusted metrics) to align specific fund types with stated client objectives and regulatory standards.

Description: This course analyzes private capital markets by contrasting them with public markets and detailing the structures, strategies, and risk-return drivers of private equity, venture capital, and private credit funds. The course also examines fund suitability, key market participants, leveraged and growth buyouts, direct-lending structures, and evaluation tools, such as internal rate of return (IRR), multiple of invested capital (MOIC), and public market equivalent (PME).

Description: This course delivers practical guidance for investment adviser representatives who are seeking to meet fiduciary, ethical, and regulatory obligations. Through real-world case studies and clear frameworks, participants learn to manage conflicts of interest, implement transparent communication and documentation practices, safeguard client data, and design policies that satisfy SEC expectations.

Description: This course presents a concise, data-driven examination of closed-end funds, with a focus on explaining their structure, trading mechanics, and the regulatory framework that differentiates them from mutual funds and ETFs. Content includes premium/discount dynamics, IPO pricing, leverage use, interval funds, BDCs, fund categories, and the associated tax considerations. Upon completion, IARs will be able to assess, compare, and position closed-end vehicles in a manner that’s consistent with fiduciary and compliance standards.

Description: This course examines the purpose for enacting ERISA and how its reporting, disclosure, participation, and funding standards govern private-sector retirement plans. Instruction covers fiduciary duties, Department of Labor enforcement, non-discrimination and vesting tests, plan types from defined-benefit pensions to PEPs, and the impact of SECURE Acts, CARES, and recent court rulings on fees and cybersecurity. The goal is to equip plan sponsors and advisers with the ability to apply statutory requirements, manage compliance risk, and structure plans that meet current federal guidelines.

Description: This course analyzes ESG investing by detailing how environmental, social, and governance factors, ethical frameworks, and disclosure rules impact risk, return, and corporate conduct. Coverage of rating methodologies, regulatory developments, and sector-specific case studies will equip IARs with the ability to identify material issues, spot greenwashing, and integrate ESG data into disciplined portfolio analysis.

Description: This course explains the functional and capability classifications of artificial intelligence and analyzes how advisory firms deploy robo-advisers, machine-learning portfolio tools, and related applications within fiduciary and regulatory constraints. Coverage includes the essential ethical framework, common AI-specific risks, and a compliance roadmap that embeds disclosure, controls, and supervisory procedures into an adviser’s code of ethics.

Description: This course examines the drivers of market volatility, client behavioral responses, and fiduciary obligations that govern advisory actions in turbulent periods. Instruction covers risk-management frameworks, communication techniques, regulatory documentation standards, and ethical trade-execution practices that safeguard client interests while maintaining compliance.

Description: The course clarifies how a fiduciary’s duties of care and loyalty differ from basic suitability standards and frames these obligations within Regulation Best Interest and Form CRS requirements. By detailing best-practice approaches to recommendations, conflict management, disclosure, and written compliance policies, the course demonstrates how investment advisers safeguard client interests and limit regulatory risk.

Description: This course shows how financial analysis supports sound investment decisions. Fundamental and technical approaches will be contrasted while linking the balance sheet, income statement, and cash-flow statement to gauge liquidity, profitability, and solvency. Information is provided involving calculating core ratios, performing top-down fundamental analysis, and applying valuation methods. Quantitative findings are integrated with qualitative factors so that well-supported investment conclusions can be generated.

Description: This course examines the development of risk management and shows how derivatives (e.g., options, futures, forwards, swaps, and inverse ETFs) can offset market, interest rate, currency, and other systematic exposures. Hedge construction, option-premium drivers (delta, gamma, theta, vega), and the trade-offs between static structures and dynamically rebalanced portfolios will be examined. Practical examples illustrate protective puts, covered calls, collars, futures, and swap-based solutions for institutional mandates.

Description: This course examines the Investment Company Act’s core provisions as well as current SEC directives regarding the practical operation of mutual funds and other pooled vehicles. Readers will analyze fund governance, share-class cost structures, and NAV calculations, then apply quantitative tools (e.g., breakpoints, expense ratios, risk-adjusted metrics) to align specific fund types with stated client objectives and regulatory standards.

Description: This course analyzes private capital markets by contrasting them with public markets and detailing the structures, strategies, and risk-return drivers of private equity, venture capital, and private credit funds. The course also examines fund suitability, key market participants, leveraged and growth buyouts, direct-lending structures, and evaluation tools, such as internal rate of return (IRR), multiple of invested capital (MOIC), and public market equivalent (PME).

Description: This course examines the Prudent Man Rule’s evolution into the Uniform Prudent Investor Act, along with highlighting influences from ERISA, the Investment Advisers Act, and the Modern Portfolio Theory. The course provides details on how trustees balance diversification, liquidity, and credit considerations while adhering to fiduciary standards, but also identifies common violations such as self-dealing, commingling, and breaches of impartiality.