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

The SEC Division of Examinations has signaled that one question will dominate adviser reviews in 2026: are investment recommendations consistent with both the product disclosures the adviser makes and each client's stated objectives, risk tolerance, and financial background? This continuing education course explores the three-column analysis examiners actually use — disclosures, client profile, and account activity — and how findings emerge when any two columns disagree. From there, the course walks through each of the five sub-areas the staff has identified for heightened scrutiny: older investors and pre-retirees, dual-hatted advisers managing private funds alongside SMAs, newly launched private funds, products particularly sensitive to market volatility, and advisers entering the private-fund business for the first time. An integrated case study brings the priorities together through a single firm facing multiple overlapping issues, and a final module on exam readiness translates the priorities into the document requests, interviews, and cultural signals that distinguish a clean examination from a difficult one.

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)

      Suitability Under the Lens: Investment Recommendations, Product Disclosures, and the 2026 SEC Examination Priorities

  4. 4

    Course Assessment

    1. (Included in full purchase)

      Course Assessment Instructions

    2. (Included in full purchase)

      Course Assessment - Suitability Under the Lens: Investment Recommendations, Product Disclosures, and the 2026 SEC Examination Priorities

  5. 5

    Course Survey and Feedback

    1. (Included in full purchase)

      Course Survey - Suitability Under the Lens: 2026 SEC Examination Priorities

With the 2026 SEC exam cycle underway, can you afford to wait? Enroll now and gain the framework to align recommendations, disclosures, and client files with confidence.

With suitability under the SEC's lens in 2026, can you afford to wait? Enroll now and gain the framework to advise confidently and document defensibly.

$9.99

Enroll now