6 Credit Hours
This 6-credit hour bundle includes 3 hours of Products and Practices and 3 hours of Ethics and Professional Responsibility, providing comprehensive continuing education credit to advance your professional development.
Course Bundle Includes
The courses below are included in your bundle.
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All Courses, Ethics and Professional Responsibility Courses
C27885 Fiduciary Ethics for Investment Advisers (1 Credit)
CourseThis course equips RIAs with essential fiduciary obligations and ethical practices. Learn the highest standard of care, prudent investor standards, suitability requirements, and conflict of interest management.
$14.95
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All Courses, Ethics and Professional Responsibility Courses
C27887 Code of Ethics: Analysis & Application (2 Credits)
CourseLearn the highest standard of care, prudent investor standards, suitability requirements, and how to manage conflicts of interest while acting in clients' best interests.
$29.95
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All Courses, Products and Practices Courses
C27886 IA Compliance: ADV, Contract and Communication (1 Credit)
CourseThis course covers essential compliance for investment advisers: Form ADV, contracts, communications, recordkeeping, and supervision. Learn current regulations and best practices to meet RIA obligations effectively.
$14.95
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All Courses, Products and Practices Courses
C80720 Emerging Investment Products & Risk Management (1 Credit)
CourseEducates advisers on emerging investments, including digital assets, ESG, and alternatives. Covers risk management, regulatory compliance, portfolio integration, and client communication for complex products.
$14.95
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All Courses, Products and Practices Courses
C27313 Marketing Under the “New” SEC Marketing Rule (1 Credit)
CourseThis course covers the SEC Marketing Rule for investment advisers, including advertisement definitions, prohibitions, testimonials, endorsements, performance standards, and recordkeeping. Case studies provide practical compliance insights.
$14.95