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*CE Eligible: 2 CE credits are available to subscribers with these designations: CFP, CLU, ChFC and RICP. Special Note: This program is also approved for two ethics CE credit…
With the SEC and state regulators sharpening their focus on fiduciary obligations, disclosure accuracy, and cybersecurity in 2025, investment adviser representatives (IARs) must…
The SEC’s Marketing Rule under the Investment Advisers Act has transformed how Investment Adviser Reps (IARs)can advertise their services and use testimonials, performance data,…
Handling customer complaints is one of the most critical—and often misunderstood—areas of regulatory compliance for investment adviser representatives. Whether it’s a client’s…
*CE Eligible: 2 CE credits are available to subscribers with these designations: CFP, CLU, ChFC and RICP. Special Note: This program is also approved for two CE credit hours for…