Investment Advisers and Personal Securities Transactions


This course covers personal securities transactions and the investment adviser through a review of procedures, reporting requirements, reportable securities, and recordkeeping obligations of the investment adviser. Please note this course does not meet the requirements of the NASAA IAR CE Model Rule that has been adopted by multiple states. This course does meet Firm Element requirements. 

Learning Objectives

Students who successfully complete this course will be able to:

  • describe FINRA rules on personal securities transactions
  • understand the Securities Exchange Commission’s requirement for a Code of Ethics aimed at personal securities transactions, including restrictions and reporting requirements
  • understand the consequences for failure to follow these rules

Designed For

Investment Advisory

Find this course for your license:

License or Certification