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 comprehensive course equips investment advisers with essential knowledge on key compliance requirements, including Form ADV disclosures, advisory contracts, communication standards, recordkeeping obligations, and supervision practices. Participants will learn current regulations, industry standards, and best practices necessary for maintaining effective compliance programs. The course provides practical guidance to help registered investment advisers (RIAs) meet their regulatory obligations and operate within regulatory frameworks.

Curriculum

5 Chapters · 5 Lessons

  1. 1

    Course Description

    1. (Included in full purchase)

      Course Description

  2. 2

    Course Learning Objectives

    1. (Included in full purchase)

      What will you learn by the end of this course?

  3. 3

    Course - IA Compliance: ADV, Contract and Communication

    1. (Included in full purchase)

      IA Compliance: ADV, Contract and Communication

  4. 4

    Course Assessment

    1. (Included in full purchase)

      IA Compliance: ADV, Contract and Communication

  5. 5

    Course Survey and Feedback

    1. (Included in full purchase)

      Course Survey: IA Compliance – ADVs, Contract and Communication

Fulfill your Products and Practices credits while strengthening the foundation of your advisory practice—enroll today.

This NASAA-approved course satisfies 1 credit toward your Products and Practices requirement. Gain practical knowledge from an industry expert with over 20 years of RIA compliance experience, and earn the continuing education credits you need to maintain your registration.

$14.95

Enroll now