Expert-Led Instruction

Learn from a NASAA-approved instructor with 20 years of hands-on RIA compliance and regulatory experience—not just theory, but real-world insights you can apply immediately.

NASAA-Approved Courses

Meet your annual 12-credit requirement with courses approved by NASAA and accepted in all states that have adopted the Model Rule for Investment Adviser Representatives.

Practical and Relevant Content

Go beyond checkbox compliance with courses designed specifically for IARs—covering Products & Practice and Ethics & Professional Responsibility with examples from actual advisory practices.

About the course

This continuing education course explores the critical intersection of artificial intelligence technology and regulatory compliance in the investment advisory industry. Participants will gain practical knowledge to ensure their firm's AI usage complies with SEC regulations, FINRA rules, and state securities laws. The course covers essential topics including privacy requirements, oversight obligations, fiduciary duties in AI-assisted decision making, and the evolving regulatory framework governing AI use in financial services. Through examination of recent enforcement actions, SEC risk alerts, and practical implementation strategies, participants will learn how to balance innovation with regulatory compliance and client protection.

Curriculum

5 Chapters · 6 Lessons

  1. 1

    Course Description

    1. (Included in full purchase)

      Course Description

  2. 2

    Course Learning Objectives

    1. (Included in full purchase)

      Learning Objectives

  3. 3

    Course - AI Compliance for Investment Advisers

    1. (Included in full purchase)

      AI Compliance for Investment Advisers

  4. 4

    Course Assessment

    1. (Included in full purchase)

      Course Assessment Instructions

    2. (Included in full purchase)

      Course Assessment - AI Compliance for Investment Advisers

  5. 5

    Course Survey and Feedback

    1. (Included in full purchase)

      Course Survey - AI Compliance for Investment Advisers

With SEC enforcement on AI ramping up, can you afford to wait? Enroll now and gain the knowledge to implement AI confidently and compliantly.

Investment in your compliance education today prevents costly enforcement actions tomorrow.

$14.95

Enroll now