Live Webinars
Ethics CE: CFP Board’s Revised Code of Standards (Eligible for 2 IAR Ethics CE Credits) - 06.20.2025
CE Eligible: Two credits for subscribers who need IAR, CFP, PACE and CPE credits. This fulfills the CFP requirement for Ethics.In this webinar, Tom Duffy, CFP® led listeners in an…
*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…