Kitces IAR Ethics CE Day
Fulfill your entire 6 hours of IAR Ethics CE — while also earning 6 hours of CE approved by the CFP Board, IWI, American College, and NASBA.
You MUST attend the live virtual event to earn CE. A full recording will be sent to all registrants to reference the event content.
About IAR CE Day
In 2022, a series of 7 states implemented the first-ever CE obligation for Investment Adviser Representatives (IARs), and in 2023 it was expanded to another 4 states. 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.
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 throughout the day!
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.
Scott P. Gill
Get ready for 6 Hours of engaging Ethics CE
Professional Ethics Obligations of Financial Planners (CFP Ethics-Eligible)
2 hours CE
The duties CFPs have at all times around communication, compensation, technology, and privacy.
How to fulfill their fiduciary duty when conflicts arise.
How the 7 Steps of the Financial Planning Process apply in practice using case studies
What's Happening In Washington: The Current Policy Landscape For Financial Advisers
1 hour CE
How pending legislation and government policies could impact advisors and RIAs.
The policy themes that are shaping the regulatory landscape.
What advisors should keep in mind around custody, cybersecurity, ESG investing, and private funds.
Complying With The RIA Marketing Rule While Leveraging Testimonials & Endorsements
1 hour CE
The major impacts of the SEC’s Marketing Rule on advisors.
The rules and requirements around testimonials and endorsements.
The rules and requirements related to third-party ratings
Going Deeper On Taxes Compliantly: Tax Planning vs. Tax Advice
1 hour CE
In this session, advisors will learn:
- What types of Tax Advice financial advisors can’t give without being a designated tax practitioner (CPA, EA, attorney)
- What types of tax advice are allowable from a legal standpoint (but can open up liability for the advisor and their firm if there aren’t procedures to give and/or oversee tax advice to ensure it is competent and in clients’ best interests)
- How tax planning differs from tax advice, and best practices for advisors to add value with tax planning when giving tax advice isn’t an option
Common Compliance Deficiencies To Avoid: Panel Of Experts
1 hour CE
In this session, advisors will learn:
- What regulators are focusing on now when they show up for examinations
- The easiest compliance issues to fix (that advisors often overlook)
- Compliance issues to be mindful of as firms add new team members
Pricing & Sign-Up Information
August 24 | 12:00 - 6:30 PM ET
Kitces Premier Members receive 35% off the General Admission.
(Contact [email protected] to register multiple advisors at once for additional discounts!)
You MUST attend the entire 6-hour virtual event live to earn CE
Non-Members and Basic
Not a Member? Buy Combo for discounts.
Kitces.com Premier Membership is an annual subscription of $169 that includes Kitces Course discounts, free monthly webinars, over 100 Hours of CE on-demand, CFP ethics, and more! - Access to our entire CE Quiz library on demand.
- Access to Exclusive Kitces-written CFP Ethics CE.
- Monthly Live Office Hours session with Michael and the Kitces Team to answer your questions.
- 2/Year New + All Archived Issues Of The Kitces Report.
- Access to Archives of All Educational Webinars.
- Unlimited Access to Members Section Resources including Charts and Spreadsheets.
- IAR reporting add-on (available at checkout).
CE Reporting Requirements
Kitces will report CE on your behalf to several organizations including the CFP Board, American College, IWI, and NASAA by August 31.
(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 complete all polls presented in each program to earn CE for that program
(There are 5 unique CE-approved sessions within the event. If you do not complete all the polls for a program, 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 August 31.
FAQ for IAR Ethics CE Day
Kitces IAR 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 CE Day will be approximately 6 hours long and will begin at 12PM ET on Thursday, August 24th. Breaks are built into the agenda approximately every hour.
Yes. Breaks are built into the agenda approximately every hour.
Kitces IAR CE Day is a virtual webinar event that will be hosted by Michael Kitces and Adam Van Deusen and will feature 7 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 programs within the event. You must complete all polls presented in each session to earn CE for that session. If you do not complete all the polls for a session, 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, within one week of the event conclusion.
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 within one week of the event conclusion.
You’re welcome to come and go throughout the day, and attend whichever agenda sessions interest you (Each session begins approximately at the top of the hour). However, CE will only be reported for the sessions where you engage in 100% of the associated polls. 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 CE-eligible sessions. For each session that you attend, you must complete 100% of that session’s polls to earn CE credit.
You will receive a completion certificate for each session within IAR CE Day one week after the event concludes via email.
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 24th 2023.
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 24th, 2023. Watching the recording does not earn you CE.
CE will only be reported for sessions you attend live on Thursday, August 24th, 2023. Watching the recording does not earn you CE.
Kitces Premier members receive a discount on the registration cost for Kitces IAR CE Day. Non-member tickets are $199, while Kitces Member tickets are $129.
Discounts for Kitces IAR CE Day cannot be stacked. If you are a Kitces Premier Member, you will receive the lowest price on the cost of registration by signing into the Members Section and registering for the event there.
Advisory firms that wish to purchase multiple registrations to Kitces IAR CE Day can receive a discounted bulk rate based on the number of people they wish to register. Additional discounts apply with a Kitces Premier Group Membership rate.
Advisors may receive a full refund for Kitces IAR CE Day up to the event start time at 12pm ET on Thursday, August 24th.
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!
Discounts are available for group enrollments. Additional discounts apply with a Kitces Premier Group Membership .