MILWAUKEE – Quest CE, leading provider of innovative compliance technology, is thrilled to announce the launch of its brand-new IAR CE courses for the 2025 program year.
These courses fulfill either the Ethics & Professional Responsibility requirement or the Products and Practices requirement under NASAA’s IAR CE model rule. Investment adviser representatives need 12 total credits per year – six in Products and Practices and six in Ethics and Professional Responsibility. Click here to see which states require IAR CE.
As a reminder, advisers cannot complete the same CE course more than once. Duplicate courses will not count toward the IAR CE requirement, even if completed in a subsequent year. Each course must have a unique course identification number in order for an IAR to receive credit. As a result, we always recommend clients offer the newest available courses to their advisers.
CE Component: Ethics & Professional Responsibility
| Course Title | Course Description |
|---|---|
| Advanced Ethical Decision Making
(1 Credit, CFP Dual Credit) |
This course strengthens advisors’ ability to handle complex ethical challenges in their practice. Through real-world scenarios and case studies, participants learn to navigate fiduciary duties, conflicts of interest, and regulatory gray areas while maintaining client trust. The course provides practical strategies for ethical decision-making and fostering a client-first culture. |
| Ethical Business Practices and the Modernized SEC Marketing Rule
(1 Credit, CFP Dual Credit) |
This course teaches investment advisors how to align their marketing with the SEC’s new IA Marketing Rule while maintaining ethical standards. Learn to navigate regulations around advertising, testimonials, performance data, and AI tools while building effective compliance programs. The focus is on balancing marketing goals with fiduciary duties and ensuring transparent, compliant communications. |
| Ethical Challenges in AI and FinTech
(1 Credit, CFP Dual Credit) |
This course helps financial professionals understand and address ethical challenges in AI and FinTech. Learn to manage key issues like data privacy, algorithmic bias, and transparency while implementing practical governance tools and frameworks. The focus is on balancing innovation with ethical principles and regulatory compliance to maintain client trust. |
| Ethical Considerations for Client Communications
(1 Credit, CFP Dual Credit) |
This course teaches advisors how to maintain ethical standards in all client communications. Learn strategies for clear, culturally sensitive messaging, managing difficult market discussions, and using technology appropriately. Focus on building transparency and trust to strengthen client relationships and professional reputation. |
| Ethics in Crisis Management
(1 Credit, CFP Dual Credit) |
This course prepares advisors to handle ethical challenges during market crises and volatility. Learn to maintain transparency and empathy while managing client relationships under pressure. Through case studies, explore balancing short-term decisions with long-term goals, managing conflicts of interest, and implementing crisis management best practices including technology use and behavioral finance principles. |
| Insider Trading and Market Manipulation
(1 Credit, CFP Dual Credit) |
This course examines insider trading and market manipulation through ethical and legal lenses. Learn key regulations, study real-world cases, and develop strategies to prevent violations in both traditional and emerging markets like crypto. Focus on building a strong compliance culture while understanding how to use technology for detection and prevention. |
| Promoting Diversity, Equity, and Inclusion in Financial Advisory
(1 Credit) |
This course examines how diversity, equity, and inclusion (DEI) strengthens financial advisory firms. Learn to integrate DEI principles to improve client relationships, workplace culture, and business strategies. Through case studies and practical tools, develop skills to create an equitable environment that benefits employees, clients, and the community. |
CE Component: Products & Practices
| Course Title | Course Description |
|---|---|
| Annual AML Update 2025
(1 Credit, CFP Dual Credit) |
This course covers recent Anti-Money Laundering (AML) regulations and developments across securities, banking, and cryptocurrency sectors. Through regulatory updates and case studies, learn how money laundering is detected and prosecuted in today’s environment. |
| Cybersecurity Essentials for Investment Advisors
(1 Credit, CFP Dual Credit) |
This course teaches investment advisers about current cybersecurity threats and how to protect client data. Learn industry compliance requirements, security best practices, and practical strategies through real-world examples. |
| Engaging Millennial Investors: Strategies for Modern Wealth Management
(1 Credit, CFP Dual Credit) |
This course helps advisors effectively serve millennial clients, whose investment needs differ from previous generations. Learn to understand their financial goals, communication preferences including social media compliance, and key interests like cryptocurrency and ESG investing. |
| Innovative Investment Strategies
(1 Credit, CFP Dual Credit) |
This course explores cutting-edge investment products and strategies transforming financial markets. Learn about modern tools like ETFs, Smart Beta, crypto, and ESG investing, along with alternative investments and robo-advisors. The course covers risk management and compliance considerations for these evolving investment options. |
| Navigating Digital Assets and Cryptocurrency
(1 Credit, CFP Dual Credit) |
This course examines U.S. crypto asset regulations, covering key products, regulatory jurisdictions, and recent enforcement actions. Learn about compliance requirements, including crypto-specific anti-money laundering rules and customer identity verification procedures. |
| Regulation Best Interest: Practical Applications
(1 Credit, CFP Dual Credit) |
This course provides a comprehensive understanding of Regulation Best Interest (Reg BI) and its impact on investment advisory practices. Learn the key requirements, implementation strategies, and best practices to ensure compliance while delivering higher quality service to clients. |
| Understanding Alternative Investments
(1 Credit, CFP Dual Credit) |
This course explores major alternative investments including hedge funds, private equity, real estate, crypto, and structured products. Learn their characteristics, risks, and roles in portfolio diversification while understanding regulatory requirements and due diligence processes. The focus is on practical strategies and risk management for these complex investment vehicles. |
To see our list of pre-built packages with the exact credits advisers need to comply this year, click here.
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About Quest CE
For over thirty-five years, Quest CE has been a trusted provider of compliance training and tracking solutions to the financial services industry. In partnering with more than 2,400 leading insurance carriers, broker-dealers, registered investment advisors, and other financial institutions, Quest CE offers a full suite of proprietary technology solutions while delivering an unmatched level of customer service.
Through the delivery of advanced custom solutions, Quest CE honors its mission to empower financial institutions with easy-to-use technology that simplifies their compliance and continuing education programs. For more information on Quest CE, visit www.questce.com.
