Kitces IAR Ethics CE Day
Fulfill your entire 6 hours of IAR Ethics CE – while also earning 6 hours of CE for CFP, CIMA, CPWA, American College, CPA, and other advisor designations. And CFP Ethics, too!
While all registrants will receive a recording of the event, you MUST attend the live virtual event to earn CE.

About IAR Ethics CE Day
Fulfill your entire 6 hours of IAR Ethics CE – while also earning 6 hours of CE for CFP, CIMA, CPWA, American College, CPA, and other advisor designations at this year’s Kitces IAR Ethics CE Day. This event will be delivered virtually by some of the most engaging and relevant ethics and regulatory experts in our industry.
In 2022, a series of 7 states implemented the first-ever CE obligation for Investment Adviser Representatives (IARs), and since then additional states continue to be added each year. At its core, the new IAR CE obligation mandates that financial advisors earn 12 hours of continuing education credits each year – 6 hours on Products and Practice and 6 hours on their Ethics and Professional Responsibility. Any IAR who has more than the de minimis number of clients in any of the affected states is subject to the new rule.
The Hosts
6 hours of compliance content can be a long day, but Michael and Adam are ready to keep the energy up and the program flowing!
6 hours of IAR Ethics CE Content with Industry Experts
Each guest will share information around ethics and regulation that is applicable to the situations you encounter every day with clients and in your practice.






























Agenda
Get ready for 6 Hours of engaging Ethics CE
Navigating Ethical Obligations As A Financial Planner [CFP Ethics Eligible] [IWI Ethics Eligible]
2 hours CE
Financial planners have an obligation to provide recommendations in the best interests of their clients, by law and by the very definition of the word “advice” itself. However, not all client situations have straightforward answers, and ethical dilemmas can arise for financial planners just as they do for other professionals. In this session, Shelitha Smodic will discuss common scenarios where financial advisors may find themselves facing ethical challenges when providing financial planning advice, and how to navigate those scenarios with consideration for high ethical conduct. Note: This session satisfies the full 2-hour CFP Board Ethics as well as IWI Ethics requirements.





Giving Advice To Retirement Investors In Accordance With The New Retirement Security Rule (DoL Fiduciary 2.0)
1 hour CE





Catching Up On Recent Regulatory Changes: Beneficial Ownership Reporting, FTC Non-Competes, Marketing Rule, Custody Triggers, and More
1 hour CE





What’s Happening In Washington: The Current Policy Landscape And What Regulation May Be Coming Next For Financial Advisors
1 hour CE
In recent years, the Securities and Exchange Commission has been especially active in updating “old” regulatory rules to modernize them, leading to an ongoing wave of compliance changes for financial advisors. And the regulators don’t appear to be done yet, which means financial advisors may want to start preparing now for what could come next! In this session, we will discuss the regulatory (and legislative) developments that are emerging in Washington, which may affect financial planners such as the proposed changes to the Custody Rule, potential new Cybersecurity regulation, new rules on oversight of vendors when Outsourcing, and more.
Keeping Your Firm Compliant: Practical Best Practices, And Common Deficiencies To Avoid
1 hour CE
For most financial advisors, compliance is simply something you “have to do” to satisfy regulators while providing financial advice. But in practice, regulations are put in place to protect consumers, and understanding the principles that underlie those regulations can make it easier to adhere to the requirements. In this session, Chief Financial Planning Nerd Michael Kitces is joined by compliance experts Terria Heng, Max Schatzow, and Leila Shaver to discuss what RIAs need to keep in mind as they seek to create a positive culture of compliance, develop and operate within their compliance policies and procedures, and what to watch out for to minimize the risk of audit deficiencies when compliance reviews inevitably come.
Pricing & Sign-Up Information
August 29 | 11:00 AM - 6:00 PM ET
Kitces Premier Members receive 25% off the General Admission.
(Contact [email protected] to register multiple advisors at once for additional discounts!)
You MUST attend the entire 7-hour virtual event live to earn CE
CE Reporting Requirements
Kitces will report CE on your behalf to several organizations including the CFP Board, American College, IWI, and FINRA by September 10.
(CE requirements vary for each organization)
For your CE activity to be reported:
- You must provide your certification numbers at the point of registration
- You must be present for at least 50 minutes of the hour-long sessions, and 75 minutes for the 2-hour session to earn CE
(There are 5 unique CE-approved sessions within the event, four of which are 1 hour long and one that is 2 hours long. You must attend at least 50 minutes of the hour-long sessions, and 75 minutes for the 2-hour session or you will not receive CE credit for that portion of IAR CE Day.)
Completion certificates will be emailed to attendees who satisfy the requirements above by September 10.
FAQ for IAR Ethics CE Day
Kitces IAR Ethics CE Day is designed for all advisors who want to expand their knowledge around ethics, regulations, and compliance. The event is specifically designed to satisfy the annual CE ethics requirements for NASAA and the CFP Board.
Kitces IAR Ethics CE Day will be approximately 7 hours long and will begin at 11AM ET on Thursday, August 29th. Breaks are built into the agenda approximately every hour.
Yes. Breaks are built into the agenda approximately every hour. There will be a 30 minute break for lunch.
Kitces IAR Ethics CE Day is a virtual webinar event that will be hosted by Michael Kitces and Adam Van Deusen and will feature expert presenters across 5 CE sessions.
Kitces will report CE on your behalf to several organizations including the CFP Board, American College, IWI, and NASAA. CE requirements vary for each organization.
There are 5 unique CE-approved sessions within the event, four of which are 1 hour long and one that is 2 hours long. You must attend at least 50 minutes of the hour-long sessions, and 75 minutes for the 2-hour session or you will not receive CE credit for that portion of IAR CE Day.
Additionally, you must provide your certification numbers at the point of registration.
Completion certificates will be emailed to attendees who satisfy the requirements above.
The Kitces Team will automatically report CE on your behalf to NASAA, the CFP Board, the American College, and IWI, no later than September 10th.
The Kitces Team will automatically report CE on your behalf to NASAA, the CFP Board, the American College, and IWI. We do not report to any state-level organizations.
Yes, you will receive a completion certificate via email no later than September 10th.
You’re welcome to come and go throughout the day, and attend whichever agenda sessions interest you. However, CE will only be reported for the sessions where you are present for at least 50 minutes, or 75 minutes for the 2-hour session. Further, the registration price provides you with access to the entire event. Pro-rated tickets are unavailable.
No. IAR CE Day is composed of 5 unique CE-approved sessions, four of which are 1 hour long and one that is 2 hours long. You must attend at least 50 minutes of the hour-long sessions, and 75 minutes for the 2-hour session or you will not receive CE credit for that portion of IAR CE Day.
You will receive a completion certificate via email for each session you satisfy the attendance requirement for no later than September 10th.
Yes. Access to a recording is included in your registration, however, CE will only be reported for the sessions you attend live on Thursday, August 29th.
No. The recording is not available for sale independently. You must register for the live event to access a recording. Please note, CE will only be reported for sessions you attend live on Thursday, August 29th. Watching the recording does not earn you CE.
CE will only be reported for sessions you attend live on Thursday, August 29th. Watching the recording does not earn you CE.
Kitces Premier members receive a discount on the registration cost for Kitces IAR Ethics CE Day. Basic and Non-Member tickets are $199, while Kitces Premier Member tickets are $149.
Advisors may receive a full refund for Kitces IAR Ethics CE Day up to the event start time at 11AM ET on Thursday, August 29th.
Become a Premier Member
Kitces.com Premier Membership includes Kitces-Courses discounts, free monthly webinars, over 100 Hours of CE on-demand, CFP ethics, and more!
Group Discounts
Discounts are available for group enrollments. Additional discounts apply with a Kitces Premier Group Membership .