self study

This ethics-focused continuing education program examines the SEC’s Marketing Rule under the Investment Advisers Act, detailing what constitutes an advertisement, permissible statements, and requirements for using testimonials, endorsements, performance data, and third-party ratings, while addressing related recordkeeping, disclosure, and compliance practices to help advisers meet regulatory st

With the SEC and state regulators sharpening their focus on fiduciary obligations, disclosure accuracy, and cybersecurity in 2025, investment adviser representatives (IARs) must stay ahead of evolving expectations.

This webinar, led by compliance expert Michelle Atlas-Quinn, equips investment adviser representatives and financial planners with the essential knowledge and best practices for identifying, reporting, and responding to customer complaints—ranging from informal remarks to formal arbitration—to protect their license, reputation, and firm.

This webinar, led by compliance attorney Michelle Atlas-Quinn, will equip financial advisors with the knowledge and tools to implement risk-based AML programs and meet new regulatory obligations under the Anti-Money Laundering rules taking effect January 1, 2026.

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In this course, you will gain a thorough understanding of the myriad of options available to your clients when they are exploring senior living options. You will learn about all senior living options available, services offered, amenities available, fee structures and other key differentiators. You will also gain a deeper understanding of the options for funding.

Premium Plus Content - $25 per credit for CFP Submittal and/or $25 per credit for IAR CE Submittal

Premium Plus Content - $25 per credit for CFP Submittal and/or $25 per credit for IAR CE Submittal

This session featured credit expert Tiffany Cross and mortgage strategist John Thompson, who provided financial advisors with practical guidance on mortgage planning and credit score optimization. Attendees learned how to help clients improve credit scores, manage mortgage debt throughout life stages, and strategically use home equity in retirement.