IAR CE

Industry Best Practices

Overview

This course will look at important recent compliance and trading changes and how those changes impact your duties as a financial professional. The new marketing rule, the DOL rule, the increasing focus on digital assets, and the uncertainty of the economy short-term are all issues that will impact your life as a financial professional and require changes in your practices.

Summary Details

Hours

1.0

Price

$20.00







Learning Objectives

  • understand the new marketing rule
  • understand your obligations relating to conflicts
  • understand digital assets and your obligations relating to them
  • understand your recordkeeping obligations
  • understand the power and place of the CCO
  • understand your obligations as a fiduciary


Designed For:

Investment Adviser Representatives



Course Information

Adding additional credit may change exam requirements.

Access Period: 12 months
Prerequisites: None
Delivery Method: Self-Study
PDF Download: Available
Course Approval Number: C25940
Provider of Record: WebCE
Provider Number: 90082
Last Reviewed: June 2023
Study Level: Intermediate
Approved For: Products and Practices

Exam

Proctor: No
Passing Grade: 70
Questions: 10



Recent Customer Course Comments

Comments are from students across the country who have recently completed the latest version of the course(s).