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.

Find this course for your license

License or Certification

Regulator

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.

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