Insurance

Regulations that Affect the Investment Adviser Representative

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).

Summary Details

Hours

1.0

Price

$12.95







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:

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
Provider of Record: WebCE
Provider Number: 2257
Study Level: Intermediate
Approved For: General

Exam

Proctor: No
Passing Grade: 70
Questions: 5



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