MILWAUKEE – Quest CE, leading provider of innovative compliance technology, is thrilled to announce the launch of its brand-new IAR CE courses for the 2026 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 that clients offer the newest available courses to their advisers.

CE Component: Ethics & Professional Responsibility

Course Title Course Description
AI Compliance Concerns

(1 Credit)

 This course examines how artificial intelligence is becoming part of financial services, creating new efficiencies but also new potential risks for investment adviser representatives. It explains how AI fits within the existing regulatory framework, including fiduciary duties, the Marketing Rule, the Books and Records Rule, and Regulation S-P – framed through the lens of ethical responsibilities
Fiduciary Duty: Ethics and Compliance

(1 Credit, CFP Dual Credit)

 Equip IARs with the practical knowledge to navigate today’s ethical and regulatory landscape. This 1-hour course explores the SEC’s guidance on the fiduciary standard, core duties of care and loyalty, conflict disclosure, and real-world case studies on ethical breaches, Learners will apply decision-making frameworks, understand the “fiduciary funnel,” and strengthen their ability to align client-first values with day-to-day advisory decisions.
Insider Trading Compliance Essentials

(1 Credit, CFP Dual Credit)

 Master critical definitions – insider trading, MNPI, Rule 10b-5 – and learn to recognize real-world red flags in advisory work. Through ethical-duty discussions and anonymized enforcement case studies, you’ll see how compliance lapses occur and which preventive controls – pre-clearance, restricted lists, digital safeguards, and a strong compliance culture – stop MNPI misuse before it happens.
Managing IAR Conflicts Effectively

(1 Credit, CFP Dual Credit)

 This course explores how compensation structures, product recommendations, and firm affiliations can create ethical dilemmas – and what IARs must do to disclose and mitigate these conflicts. Learners will gain a working knowledge of SEC expectations, Form ADV and Form CRS disclosure requirements, and supervisory best practices.
Reg S-P Amendments: Ethics and Privacy

(1 Credit, CFP Dual Credit)

 Explore the evolution of the Regulation S-P and the “Safeguards Rule,” learn to recognize sensitive customer information, and assess its risk potential. Through real-world scenarios, master a three-step breach response framework – recognize, escalate, notify – and develop client-focused communication strategies. The course then delves into fiduciary principles, such as care, loyalty, and diligence, to guide ethical decision-making, vendor oversight, and conflict mitigation.
Senior Clients: A Fiduciary Focus

(1 Credit, CFP Dual Credit)

 This course prepares IARs to meet their fiduciary duty when working with aging investors by recognizing red flags, documenting concerns, and applying SEC-compliant reporting protocols. You’ll explore real-world scenarios, evolving regulatory expectations, and best practices for safeguarding vulnerable clients, including how to communicate effectively, identify diminished capacity, and respond to potential elder abuse.
Shielding Against Ransomware & Takeovers

(1 Credit, CFP Dual Credit)

 This course equips investment adviser representatives with practical knowledge to recognize, respond to, and help prevent two of today’s most pressing cybersecurity threats: ransomware and account takeovers. Participants will explore how evolving tactics, including AI-driven phishing, impersonation, and adaptive malware, challenge traditional defenses.
The IAR’s Guide to Ethical Conduct

(1 Credit, CFP Dual Credit)

 This course equips investment adviser representatives with practical strategies to uphold fiduciary duty, manage conflicts of interest, and navigate the SEC’s Code of Ethics requirements. Through real-world scenarios and current regulatory guidance, participants will strengthen ethical decision-making, address emerging challenges like AI and digital communications, and contribute to a culture of compliance that builds lasting client trust.

CE Component: Products & Practices

Course Title Course Description
Advisory Continuity Essentials

(1 Credit, CFP Dual Credit)

 This course prepares Investment Adviser Representatives (IARs) to meet regulatory expectations for business continuity planning (BCP). Learners will explore key BCP components – data protection, communication protocols, office relocation, succession, and third-party risk management – with a focus on practical application and fiduciary responsibility.
Alternative Investments: Fiduciary Focus

(1 Credit, CFP Dual Credit)

 Equip advisers with a practical framework for integrating private equity, hedge funds, real estate, and other nontraditional assets while upholding fiduciary duties of care and loyalty. Through real-world case studies and interactive exercises, learners will deepen their understanding of SEC guidance on disclosure requirements and conflict mitigation, apply ethical principles to fee analysis and liquidity assessments, and adopt best practices for thorough due diligence and documentation.
AML Rules Now and in the Future

(1 Credit, CFP Dual Credit)

 This course introduces Investment Adviser Representatives to the new Anti-Money Laundering (AML) requirements under the Bank Secrecy Act. Participants will explore the rule’s background, coverage, and 2028 compliance deadline, while learning the five pillars of AML programs, reporting and recordkeeping obligations, and practical steps for identifying and escalating red flags.
Essentials of Form ADV Compliance

(1 Credit, CFP Dual Credit)

 This course provides investment adviser representatives with a practical and comprehensive understanding of Form ADV requirements under the Investment Advisers Act of 1940. Learners will explore key components of Parts 1, 2A, 2B, and Form CRS, examine recent regulatory developments, and apply lessons from real world disclosure failures.
Lessons from SEC Enforcement

(1 Credit, CFP Dual Credit)

 This course walks course takers through case studies where firms failed to meet expectations, from undisclosed revenue-sharing arrangements to inadequate wrap fee monitoring. Explore what went wrong, how it violated SEC rules, and what should have been done differently. The course also provides a practical explanation of key SEC rules, including fiduciary duty, Form ADV requirements, along with tools to help you recognize red flags and avoid common compliance mistakes.
Managing Personal Devices & Messaging Apps

(1 Credit, CFP Dual Credit)

 This course explores the compliance risks investment adviser representatives (IARs) face when using personal devices or communication channels not approved by their firm. It explains how regulatory requirements apply to everyday client interactions and shows how unapproved messaging can create recordkeeping failures, fiduciary duty concerns, and cybersecurity vulnerabilities.
Marketing Rule Deep Dive for IARs

(1 Credit, CFP Dual Credit)

 This course provides investment adviser representatives with a practical and comprehensive overview of the SEC’s Investment Adviser Marketing Rule. Participants will learn how the rule governs the use of testimonials, endorsements, and third-party ratings, along with performance advertising and hypothetical performance.
Trading Obligations for Advisers

(1 Credit, CFP Dual Credit)

 This course guides IARs through trading-compliance requirements under the Advisers Act. Users learn how fiduciary duties of loyalty and care drive best execution – balancing cost, speed, and research quality – and monitoring trade allocations to ensure fairness. The curriculum covers Rule 204A-1 personal-trading controls, including access-person reporting and pre-approval workflows, as well as principal and cross-trades.

To see our list of pre-built packages with the exact credits advisers need to comply this year, click here.

###

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.