IAR – Ethical Behavior For Financial Professionals (2026)

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NASAA IAR Continuing Education Provider Number: S20018

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.

No advance preparation needed

Program Level – Basic
Program prerequisites – None
Delivery method – QAS self-study
Recommended CPE credits – 4
Recommended field of study – Ethics

Course Learning Objectives

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

Understand the nature of ethics and identify those parties to whom the practitioner owes an ethical duty;
Recognize the requirements of Regulation Best Interest and the Investment Adviser Marketing Rule;
Identify and change any sales tools that may mislead customers;
Replace the use of misleading terms with those offering clarity and customer understanding;
Describe the need for increased professionalism and its consequences;
Discuss the sources of duty practitioners owe insurers;
Understand the common ethical issues that arise between financial services practitioners and customers; and
Differentiate his or her practice on the basis of its high ethical level.

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.