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Ethics for Investment Adviser Representatives

Course description: This IAR CE course is an ethics overview for investment adviser representatives.  It will discuss an investment adviser’s fiduciary duties and provide details on how to identify and avoid conflicts of interest.  After successfully passing the course assessment, this course will grant the IAR one credit of Ethics and Professional Responsibility credit.  Upon registering for this course, you will be charged a non-refundable $3 reporting fee.

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I Invest Too – Serving Neurodivergent Clients

Course description: In this course, we will delve into best practices for serving neurodivergent individuals, including those with Autism Spectrum Disorder and various cognitive impairments. We will examine the diverse financial planning and investment requirements of these clients. Through case examples, we will highlight specific needs, potential challenges, and solutions tailored to this unique client base.   After successfully passing the course assessment, this course will grant the IAR 3.5 credits of Ethics and Professional Responsibility credit.  Upon registering for this course, you will be charged a non-refundable $10.50 reporting fee.

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ATTENTION: NASAA courses will be unavailable from December 28th, 2023 – January 1st, 2024, for year-end roster reporting.





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