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IAR-Investment Adviser Representative

IAR - Ethical Behavior For Financial Professionals (2026)

Ethical Behavior for Financial Professionals examines the nature and scope of ethics, as the foundation of integrity and honesty, and its relationship to compliance. It also reviews the requirements of…

4 creditsRecommended continuing education
QAS Self-StudyLearn on your schedule
14 chaptersA structured learning path
7 exams listedReview assessment options below
01 THE BIG PICTURE

A closer look
at this course.

Ethical Behavior for Financial Professionals examines the nature and scope of ethics, as the foundation of integrity and honesty, and its relationship to compliance. It also reviews the requirements of Regulation Best Interest and the Investment Adviser Marketing Rule. Additionally, the course discusses the common ethical and compliance issues faced by advisers and the reasoning behind the need for obtaining specific client information to help ensure any proposal is suitable.

02 LEARNING WITH PURPOSE

What you’ll
take away.

8 learning objectives

Upon successful completion of this course, the student should be able to:

  1. Understand the nature of ethics and identify those parties to whom the practitioner owes an ethical duty;

  2. Recognize the requirements of Regulation Best Interest and the Investment Adviser Marketing Rule;

  3. Identify and change any sales tools that may mislead customers;

  4. Replace the use of misleading terms with those offering clarity and customer understanding;

  5. Describe the need for increased professionalism and its consequences;

  6. Discuss the sources of duty practitioners owe insurers;

  7. Understand the common ethical issues that arise between financial services practitioners and customers; and

  8. Differentiate his or her practice on the basis of its high ethical level.

03 YOUR LEARNING PATH

One chapter
at a time.

Course outline14 chapters Course access required
01Chapter 1 - Ethical Behavior For Financial Professionals
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02TOPIC Introduction to Ethics
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03Chapter 2 - Ethical Behavior For Financial Professionals
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04TOPIC The Legal Framework of Compliance& Ethics
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05Chapter 3 - Ethical Behavior For Financial Professionals
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06TOPIC Guidelines for Reviewing Sales Tools & Process
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07Chapter 4 - Ethical Behavior For Financial Professionals
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08TOPIC Regulation Best Interest Requirements
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09Chapter 5 - Ethical Behavior For Financial Professionals
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10TOPIC The Investment Adviser Marketing Rule
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11Chapter 6 - Ethical Behavior For Financial Professionals
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12TOPIC Common Ethical and Compliance Problems
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13Glossary - Ethical Behavior For Financial Professionals
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14Appendix - Ethical Behavior For Financial Professionals
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04 YOUR STUDY RESOURCES

Everything in
its right place.

Course materials and resource information, together in one place.

Course study materialsStudy resources may be included inside the enrolled course lessons.
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Materials, license & usage information

Copyright 2026 by Winn Publications ALL RIGHTS RESERVED. NO PART OF THIS COURSE MAY BE REPRODUCED IN ANY FORM OR BY ANY MEANS WITHOUT THE WRITTEN PERMISSION OF THE COPYRIGHT HOLDER. All materials relating to this course are copyrighted by Winn Publications. Purchase of a course includes a license for one person to use the course materials. Absent specific written permission from the copyright holder, it is not permissible to distribute files containing course materials or printed versions of course materials to individuals who have not purchased the course. It is also not permissible to make the course materials available to others over a computer network, Intranet, Internet, or any other storage, transmittal, or retrieval system. This document is designed to provide general information and is not a substitute for professional advice in specific situations. It is not intended to be, and should not be construed as, legal or accounting advice which should be provided only by professional advisers. No advance preparation needed Program Level - Basic Program prerequisites - None Delivery method - QAS self-study Recommended CPE credits - 4 Recommended field of study - Ethics - IAR

NASAA does not endorse any particular provider of CE courses. The content of the course and any views expressed are my/our own and do not necessarily reflect the views of NASAA or any of its member jurisdictions.

05 PUT YOUR KNOWLEDGE TO WORK

Your course
assessments.

Review the exams listed for this course. Take your assessments in the student portal. Follow this course’s exam completion requirements.

ASSESSMENT 01

Chapter 1 Review - Ethical Behavior For Financial Professionals

MyCECentral enrollment requiredView exam details
ASSESSMENT 02

Chapter 2 Review - Ethical Behavior For Financial Professionals

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ASSESSMENT 03

Final Exam - Ethical Behavior For Financial Professionals

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ASSESSMENT 04

Chapter 3 Review - Ethical Behavior For Financial Professionals

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ASSESSMENT 05

Chapter 4 Review - Ethical Behavior For Financial Professionals

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ASSESSMENT 06

Chapter 5 Review - Ethical Behavior For Financial Professionals

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ASSESSMENT 07

Chapter 6 Review - Ethical Behavior For Financial Professionals

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06 BEFORE YOU BEGIN

The details
that matter.

Program level
Basic
Program prerequisites
None
Delivery method
QAS Self-Study
Recommended CPE credits
4
Recommended field of study
Ethics
IAR CE credits
1.00
IRS CE program number
NASAA IAR Continuing Education Provider Number: S20018

Requirements & course notices

NASAA IAR Continuing Education Provider Number: S20018

NASAA IAR Course Approval Number: C82210

No advance preparation needed

Cost for course is $4.50/credit plus $3.00 NASAA upload fee per credit

Confirm that this course meets your individual professional and licensing requirements before enrolling. Review the course information and contact our team if you need guidance.

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