Overview
In March of 2021, the Securities and Exchange Commission announced its examination priorities and topics they would be focusing on in the near future. While this course will report on many other regulations and requirements that IARs must adhere to, particular attention will be paid to regulations concerning conflicts of interest and fiduciary duty, as the SEC's enhanced focus areas. This course will focus on the regulations that affect investment adviser representatives (IARs).
Find this course for your license
License or Certification
Regulator
Type
Learning Objectives
- be aware of the regulations that are the focus of the Securities and Exchange Commission in the near future;
- be familiar with the regulations and the requirements of IARs to comply with the regulations that are in the focus area of the SEC;
- be familiar with the basic regulations that IARs are required to adhere to
Designed For:
Course Information
Adding additional credit may change exam requirements.
At WebCE, we are passionate about delivering exceptional professional development solutions. With world-class customer support and education to serve multiple professions, we're here to help professionals reach their career goals.
Copyright ©1992-2026 WebCE®. All Rights Reserved.
S1-31 - Framework