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 provides investment adviser representatives (IARs) of registered investment advisers (RIAs) with essential knowledge of fiduciary obligations and ethical practices required in the financial services industry. Participants will explore the highest standard of care in equity and law, examining how fiduciary duty ensures investment advisers act in their clients' best interests while maintaining trust and integrity in the financial system. The course covers the legal and ethical foundations of fiduciary duty, practical applications of acting in clients' best interests, prudent investor standards aligned with modern portfolio theory, and suitability requirements specific to RIAs. Participants will also learn to identify, manage, and resolve common conflicts of interest while building ethical decision-making frameworks for their practice.

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 - Fiduciary Ethics for Investment Advisers

    1. (Included in full purchase)

      Fiduciary Ethics for Investment Advisers

  4. 4

    Course Assessment

    1. (Included in full purchase)

      Course Assessment - Fiduciary Ethics for Investment Advisers

  5. 5

    Course Survey and Feedback

    1. (Included in full purchase)

      Course Survey: Fiduciary Duty and Ethics for RIAs

Fulfill your Ethics & Professional Responsibility credits while strengthening the foundation of your advisory practice—enroll today.

This NASAA-approved course satisfies 1 credit toward your Ethics & Professional Responsibility 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