Products
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All Courses, Ethics and Professional Responsibility Courses
C28473 Ethics for Senior Investor Care (1 Credit)
CourseThe course teaches IARs ethical frameworks for senior protection. Topics include recognizing diminished capacity, detecting exploitation, reporting obligations, and trusted contacts. (1 Credit)
$9.99
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All Courses
C28364 Investment Strategy Basics (Module 1) (1 Credit)
CourseLearn essential investment strategies for diverse client needs, covering Modern Portfolio Theory, asset allocation, risk assessment, and emerging trends like alternative investments and behavioral finance. (1 CE hour)
$14.95
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All Courses, Products and Practices Courses
C28337 AI Compliance for Investment Advisers (1 Credit)
CourseThis 60-minute CE course teaches investment adviser representatives how to ensure AI usage complies with SEC, FINRA, and state regulations. Topics include privacy requirements, oversight obligations, fiduciary duties, and regulatory frameworks.
$9.99
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All Courses, CE Bundles
6 Credit Hours
BundleThis 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.
$79.95
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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.
$9.99
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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.
$9.99