Regulations that Affect the Investment Adviser Representative


This course will focus on the regulations that affect investment adviser representatives (IARs). 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.

Learning Objectives

Upon completion of this course, you should:

  • 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

This course is designed for Investment Adviser Representatives

Find this course for your license:

License or Certification