Course Information

IAR CE

Highlights of Registration and Regulation for the IAR

Overview

The role of the investment adviser is governed by industry rules and regulations such as the Investment Advisers Act of 1940 and the Investment Company Act of 1940. This course provides an overview of rules surrounding registration, as well as industry rules and regulations impacting your role.

Summary Details

Hours

2.5

Price

$20.00

4.73 (630 Ratings)

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CFP ^{Add Certified Financial Planner CE Credit to Your CourseAdd CFP continuing education credit to your course for only a small additional charge. Once the CFP CE is selected you will then see the approved credit hours and fee. Ordering at the time of purchase will allow you to complete one exam and receive certificates of completion for each of the credits added. Credits will be reported upon completion according to our reporting schedule.}

IWI ^{Add CIMA, CPWA or RMA CE Credit to Your CourseAdd continuing education credit approved by the Investments and Wealth Institute (IWI) to your course for only a small additional charge. Courses approved by the IWI will count toward CE credit for the CIMA, CPWA or RMA designations. Once the CE is selected you will then see the approved credit hours and fee. Ordering at the time of purchase will allow you to complete one exam and receive certificates of completion for each of the credits added. Credits will be reported upon completion according to our reporting schedule.}

PRP ^{Add American College Credit to Your Course

We deliver a comprehensive catalog of online CE courses for the Professional Recertification Program. Our courses fulfill the American College Professional Recertification Program education requirements, and include the most up-to-date information.

Designations subject to the Professional Recertification Program include: CLU® CHFC®, RHU®, REBC®, CASL®, CLF®, CAP®, ChHC™ and ChSNC™.}

Learning Objectives

Understand registration for the investment adviser and investment adviser representative
Understand legislation impacting the investment adviser and investment adviser representative registration, including protection of customer information, cybersecurity, and vulnerable adults

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:	C27507
Provider of Record:	WebCE
Provider Number:	90082
Last Reviewed:	December 2024
Study Level:	Intermediate
Approved For:	Products and Practices

Exam

Proctor:	No
Passing Grade:	70
Questions:	25

Recent Customer Course Comments

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