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

Interval funds, tender-offer funds, non-traded BDCs and REITs, and registered funds of private funds now reach retail clients who could not buy them a few years ago. This course explains how each structure works, what limits a client’s ability to get money out, and how fair-value pricing and layered fees affect what the client sees and pays. It then applies the fiduciary duty to a specific client and covers the documentation, disclosure, communication, and supervision practices examiners expect. Three case studies close the course.

Curriculum

5 Chapters · 5 Lessons

    1. (Included in full purchase)

      Course Description

    1. (Included in full purchase)

      What will you learn by the end of this course?

    1. (Included in full purchase)

      Beyond the Daily NAV (Intermediate)

    1. (Included in full purchase)

      Beyond the Daily NAV (Intermediate)

    1. (Included in full purchase)

      Beyond the Daily NAV (Intermediate)

Earn your IAR continuing education credit while turning liquidity, valuation, and cost from client surprises into conversations you lead—enroll today.

This NASAA-approved course satisfies 2 credits 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.

$19.99

Enroll now