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IAR CE Individual Courses

Earn IAR continuing education credits from your home or office with Kaplan’s individual online courses. Our courses are NASAA approved, regularly updated, written by industry experts, and include:

  • 365 days of access
  • Immediate results with instant exam scoring
  • Unlimited exam retakes
  • An interactive CE tracking system
  • Printable certificate
  • Designation CE credit for all courses

Additional CE credit

In addition to IAR CE, our courses are approved for CFP®️ certification CE, excluding the CFP®️ Ethics CE requirement. The CFP®️ Ethics CE course is not included in this library of online education courses but can be found here.

This library does not provide state Insurance CE.

Where noted, courses also provide CE credit for the following designations sponsored by the Investments & Wealth Institute (IWI) - Certified Investment Management Analyst (CIMA), Certified Private Wealth Advisor and/or Certified Private Wealth Analyst (CPWA), and Retirement Management Advisor and/or Retirement Management Analyst (RMA).

Visit the IAR Continuing Education Requirements page to view regulatory-specific information, including credit hours, course repetition and carry-over policies, reporting and roster fees, exam rules, reporting requirements, and how to contact NASAA.

  • Use the filters on the left, or search bar, to sort the course options.
  • On a mobile device, click the filter hyperlink to select your filters and then click 'Save'.
  • By default only the first 10 courses will show, at the bottom you can expand to see more or click 'Show All'.
  • Click the '+ More Details' to read more details about each course.
  • Click 'Clear filters' to clear all the filters you have selected and show all course options.

Image explaining that courses are rated basic, intermediate, or advanced for skill level.

Shop Online Courses for IAR Continuing Education

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SUBJECT
CREDIT TYPE
CREDIT HOURS
Showing 10 of 28 Online Courses

Advance Planning for Senior Needs, 5th Edition (IAR)

Products and Practices
$19.00

Understand the unique needs of retired individuals, the resources available to meet those needs, and planning techniques available to clients at various stages of life. This course considers life insurance, annuities, health insurance, and long-term care, and covers critical market conduct issues.

SKILL LEVEL:
Advanced
CREDIT HOURS:
Products and Practices
6
Eligible CE IWI
8.5
Eligible CFP® CE
8.5

Annuities for Today's Investor, 1st Edition, 3rd Revision

Products and Practices
$19.00

Learn how annuities can satisfy client investment goals. This course discusses the features of annuities and where they belong within the range of retirement saving and distribution options that are available to clients. The course also links annuity features to the sales process.

SKILL LEVEL:
Basic
CREDIT HOURS:
Products and Practices
3
Eligible CE IWI
3
Eligible CFP® CE
3

Annuity Concepts, 2nd Edition, Revised

Products and Practices
$19.00

Learn the fundamentals of individual annuity contracts. This course covers variable annuities in depth, distinguishing them from fixed annuities and discussing variations such as single and periodic premium, immediate and deferred annuities. How annuities are used and tax rules are also covered.

SKILL LEVEL:
Basic
CREDIT HOURS:
Products and Practices
3
Eligible CE IWI
3
Eligible CFP® CE
3

Anti-Money Laundering: Applying the Rules

Ethics Professional Responsibility
$19.00

Money laundering occurs when funds from illicit activities are made to look like legitimate funds. The process attempts to disguise the financial assets so they can be used without detecting the illegal activities that produced them. Money laundering has devastating social consequences. The tainted funds are used to finance a wide range of illegal activities, such as narcotics trafficking, arms smuggling, financial frauds, trafficking human beings, and financing terrorism. This course, Anti-Money Laundering: Applying the Rules, will provide you with a clear understanding of the various techniques by which money laundering occurs; the laws, rules, and regulations regarding money laundering; unusual and suspicious activities that may indicate money laundering activities; the scope and importance of AML programs; and the individual agent's and representative's responsibilities in preventing money laundering.

SKILL LEVEL:
Intermediate
CREDIT HOURS:
Ethics Professional Responsibility
1
Eligible CE IWI
1
Eligible CFP® CE
1

Anti-Money Laundering: Threats, Vulnerabilities, and Strategies

Ethics Professional Responsibility
$19.00

This course provides students with knowledge and understanding of the threats and problems created by money laundering and how money launderers operate—including their techniques. Students will learn the laws, rules, and regulations that have been put in place to combat the problems. They will also learn their role in identifying signs that money laundering is taking place and their responsibilities once they have recognized unusual and suspicious activities.

SKILL LEVEL:
Intermediate
CREDIT HOURS:
Ethics Professional Responsibility
2
Eligible CE IWI
2
Eligible CFP® CE
1.5

Asset Allocation in Variable Annuities, 2nd Edition (IAR)

Products and Practices
$19.00

Focuses on the allocation of investment resources in variable annuity sub accounts. Describes common approaches to asset allocation and the relationship between asset allocation and investment diversification, as well as the various forms of financial risk and how to develop a client profile and identify client investment objectives.

SKILL LEVEL:
Advanced
CREDIT HOURS:
Products and Practices
2
Eligible CE IWI
1
Eligible CFP® CE
1

Asset Allocation, 1st Edition Revised

Products and Practices
$19.00

Explore the foundational concepts of asset allocation and practical implications of modern portfolio theory. This course also covers rebalancing and the risks that investors may encounter, an extensive history of the capital markets, and a section devoted to suitability and the benefits and disadvantages of wrap accounts.

SKILL LEVEL:
Advanced
CREDIT HOURS:
Products and Practices
2
Eligible CE IWI
2
Eligible CFP® CE
2

Communications with the Public

Ethics Professional Responsibility
$19.00

Virtually everything we say or do communicates some message. Therefore, communication with the public must be understood as more than just letters and telephone calls, but also as newspaper and magazine advertisements, commercials on television and radio, as well as signs, billboards, circulars, and much more. In short, we must understand all the many different ways that information can be communicated from one person or group to another. To help agents in this understanding, Communications with the Public examines, in detail, the rules and regulations that registered representatives must abide by when communicating with customers. Every method used to interact with customers, whether they are form letters, research reports, telephone recordings, or telemarketing scripts, is subject to specific rules that govern communications with the public. The course covers the topics listed above in an interactive format. Instructional design features, including an engaging interactive activity, are included to help students understand the material.

SKILL LEVEL:
Intermediate
CREDIT HOURS:
Ethics Professional Responsibility
1
Eligible CE IWI
1
Eligible CFP® CE
1.5

Conflicts of Interest for Investment Advisors

Ethics Professional Responsibility
$19.00

This course covers an area of increased SEC scrutiny – RIAs' obligations to eliminate, mitigate or disclose conflicts of interest. It reviews common types of conflicts and the steps RIAs can take to prevent potential regulatory problems and the associated loss of client goodwill. It concludes with an evaluation of recent regulatory cases, focusing on different types of conflicts.

SKILL LEVEL:
Basic
CREDIT HOURS:
Ethics Professional Responsibility
1
Eligible CE IWI
1
Eligible CFP® CE
0.5

Cybersecurity Overview for the Financial Professional

Ethics Professional Responsibility
$19.00

Over 9 billion data records have been lost or stolen since 2013! With a frequency of almost 5.5 million records exposed every day, it is no longer a question of whether a company has been compromised, but more a question of when it will happen. Beyond prevention and mitigation, firms must be able to develop a comprehensive cybersecurity program that addresses cybersecurity end-user training, detection, response, and recovery.

This course presents the topic of cybersecurity and what it means to the firm. Through an overview of what it is, certain steps that should be taken to spot it, and other educational elements such as how and why cybersecurity regulations impact nearly everything digital, we hope to make clear the absolute necessity of protecting not only client records but the firm's platforms and infrastructure.

SKILL LEVEL:
Intermediate
CREDIT HOURS:
Ethics Professional Responsibility
1
Eligible CE IWI
1
Eligible CFP® CE
1

Equity-Indexed Annuities, 3rd Edition (IAR)

Products and Practices
$19.00

Learn the most important concepts relating to equity-indexed annuities (EIAs). This course describes EIA designs, features, and performance in detail. It also shows examples of the way various EIA design structures perform under different market conditions and why indexing is a solid investment strategy for the traditional annuity buyer.

SKILL LEVEL:
Intermediate
CREDIT HOURS:
Products and Practices
3
Eligible CE IWI
2
Eligible CFP® CE
2

Ethics for Financial Services Professionals

Ethics Professional Responsibility
$19.00

This course provides a background in the components of an ethical structure that guides financial services professionals, including:

  • Professional codes of conduct and the ethics of financial professional organizations
  • Self-regulatory organizations (SROs) and rule-making and enforcement bodies
  • Laws and regulations that help to guide ethical behavior
  • Supervisory requirements for the financial services industry
SKILL LEVEL:
Basic
CREDIT HOURS:
Ethics Professional Responsibility
1
Eligible CE IWI
1
Eligible CFP® CE
1

Financial Challenges Facing Retirees, 4th Edition

Products and Practices
$19.00

Key challenges to the financial security of retirees resources, and strategies for distributing retirement savings to provide income for a lifetime are tackled in this course. Learn the need for post-retirement planning, risk management strategies for addressing illness and injury, long-term care, uninsured death, and outliving one's income.

SKILL LEVEL:
Intermediate
CREDIT HOURS:
Products and Practices
3
Eligible CE IWI
2.5
Eligible CFP® CE
2.5

Financial Exploitation of Seniors and Annuity Suitability (FINRA Rule 2330) (IAR)

Ethics Professional Responsibility
$19.00

Financial exploitation occurs when a person misuses or takes the assets of a vulnerable adult for their own personal benefit. Assets are commonly taken via forms of deception, false pretenses, coercion, harassment, duress and threats. This course will provide answers to these questions: What is financial exploitation? Who does it impact? What are the signals? Why should you care? What to do about it? Additionally, this course will review the features of a variable annuity, suitability of variable annuities, and supervisory responsibilities in regards to variable annuities.

SKILL LEVEL:
Intermediate
CREDIT HOURS:
Ethics Professional Responsibility
2
Eligible CE IWI
5
Eligible CFP® CE
1.5

Financial Planning Process, 10th Edition

Products and Practices
$19.00

Get clued into the financial planning process and the financial services industry. This course covers the basic analytic tools of the trade, income tax planning, risk management planning, retirement planning, wealth accumulation planning, estate planning, and business planning, and concludes with a look at the profession.

SKILL LEVEL:
Advanced
CREDIT HOURS:
Products and Practices
6
Eligible CE IWI
13
Eligible CFP® CE
13

Introduction to Trusts: Case Studies, 3rd Edition

Products and Practices
$19.00

In today's competitive financial services market, your ability to use estate and financial planning techniques to the best advantage of your clients is vital to your success. Trusts are one of the major building blocks of those techniques. This course is designed to cast you in the role of financial planner for five clients. You will interview the clients to determine their circumstances, needs, and resources. You will analyze their situations to develop a financial plan using trusts, and you will implement the plan with the execution of appropriate documents.

SKILL LEVEL:
Advanced
CREDIT HOURS:
Products and Practices
4
Eligible CE IWI
4
Eligible CFP® CE
4

Investing Retirement Assets, 4th Edition

Products and Practices
$19.00

Numerous factors must be taken into account to formulate suitable strategies for investing retirement assets for today's retirees. This course provides an introduction to distributions from tax-qualified retirement plans, as well as an overview of the principles of asset allocation that may be appropriate for a retired or retiring client.

SKILL LEVEL:
Intermediate
CREDIT HOURS:
Products and Practices
2
Eligible CE IWI
3
Eligible CFP® CE
2

Know Your Customer and Suitability Considerations

Ethics Professional Responsibility
$19.00

The lynchpin of the securities industry is the customer, and they must be considered above all else. If registered representative are to maintain high standards of ethical behavior, they must know and understand both the customer's many facets, as well as the security they are recommending. FINRA has set up two "sister" rules that ensure fair dealing with the customer: 2090 (Know Your Customer) and 2111 (Suitability). This video course examines certain facts essential to knowing the customer and making suitable recommendations.

SKILL LEVEL:
Basic
CREDIT HOURS:
Ethics Professional Responsibility
1
Eligible CE IWI
1
Eligible CFP® CE
1

Know Your Customer and Variable Annuities (FINRA 2330)

Ethics Professional Responsibility
$19.00

This course discusses the key aspects of the FINRA Know Your Customer rule. The course contrasts Know Your Customer requirements with variable annuity suitability requirements. Additionally, this course reviews the features of a variable annuity and supervisory responsibilities in regards to variable annuities.

SKILL LEVEL:
Intermediate
CREDIT HOURS:
Ethics Professional Responsibility
3
Eligible CE IWI
3
Eligible CFP® CE
2

Principles of Retirement Planning, 7th Edition

Products and Practices
$19.00

This course familiarizes agents with the retirement planning market and the retirement planning process by covering three main areas: analyzing and identifying retirement income needs and how to address those needs, health care and health insurance options, and estate and distribution planning. Topics include needs analysis, Social Security, life insurance and annuities, investment products, qualified plans and IRAs, plans for small business owners, long-term care, and wealth distribution.

SKILL LEVEL:
Intermediate
CREDIT HOURS:
Products and Practices
6
Eligible CE IWI
10
Eligible CFP® CE
10

Protecting Senior Investors

Ethics Professional Responsibility
$19.00

This course will introduce the registered representative to some specific risks seniors face in today's investment environment. We will closely examine the need for protecting the senior's assets from "external" risks such as fraud, identity theft, investment risks, and "internal" risks such as the senior's own mental health. The regulatory agencies are encouraging firms to increase their awareness of the dangers to seniors. As such, we will identify warning signs and present potential safeguards throughout the course.

SKILL LEVEL:
Basic
CREDIT HOURS:
Ethics Professional Responsibility
1
Eligible CE IWI
1
Eligible CFP® CE
1

Qualified and Nonqualified Plans, 4th Edition

Products and Practices
$19.00

Learn about pension, profit-sharing and 401(k) plans, as well as IRAs, Keoghs, and nonqualified deferred compensation. This course explains qualification and tax rules for each type of plan and examines each plan's design from the perspective of both employers and employees. Plan installation, administration, and termination are fully explained.

SKILL LEVEL:
Advanced
CREDIT HOURS:
Products and Practices
6
Eligible CE IWI
5
Eligible CFP® CE
5

Retirement Income Strategies, 3rd Edition

Products and Practices
$19.00

Retirees need to stretch their assets for 20-30 years or more. Savvy distribution planning can help. Learn when to tap different asset categories and how taxable funds differ from tax-free and tax-deferred funds. Manage your clients' risk so they won't outlive their resources.

SKILL LEVEL:
Intermediate
CREDIT HOURS:
Products and Practices
2
Eligible CE IWI
2
Eligible CFP® CE
1.5

Section 529 Plans, 3rd Edition

Products and Practices
$19.00

This course provides a thorough examination of qualified tuition programs (QTPs), more commonly referred to as Section 529 college funding plans. These plans can be either prepaid tuition plans or college savings plans for payment of qualified higher education expenses. The course addresses the different plans and their respective benefits, as well as the rules that govern contributions to and distributions from these plans. Other issues addressed include the required coordination between QTPs and other education expense programs; the effect of QTPs on student eligibility for financial aid; the associated income, gift, and/or estate tax treatments for both contributions and distributions; and some of the important considerations in choosing a QTP.

SKILL LEVEL:
Intermediate
CREDIT HOURS:
Products and Practices
2
Eligible CE IWI
6.5
Eligible CFP® CE
2

Senior Needs Planning, 6th Edition

Products and Practices
$19.00

Understand the financial concerns facing your retired clients. This course will help you increase the value of the consultative services you provide your clients by offering strategic solutions to address those concerns and make you aware of the market conduct and ethical issues involved in serving the senior market.

SKILL LEVEL:
Intermediate
CREDIT HOURS:
Products and Practices
6
Eligible CE IWI
6.5
Eligible CFP® CE
6.5

Understanding IRAs, 5th Edition

Products and Practices
$19.00

Traditional IRAs, Roth IRAs, education IRAs, and medical savings accounts are the subject of this course. Learn how these savings vehicles can be used with employer-sponsored retirement plans and medical savings accounts as part of an overall personal financial strategy, for both retirement and pre-retirement savings.

SKILL LEVEL:
Intermediate
CREDIT HOURS:
Products and Practices
5
Eligible CE IWI
5
Eligible CFP® CE
5

Variable Contracts, 2nd Edition Revised

Products and Practices
$19.00

Take your knowledge of variable contracts to the next level. Learn to describe the formal characteristics of fixed premium variable life, variable universal life, and variable annuities to prospects and clients; determine suitability requirements of variable contracts; and explain and recommend asset allocation based on your clients' needs.

SKILL LEVEL:
Intermediate
CREDIT HOURS:
Products and Practices
6
Eligible CE IWI
10
Eligible CFP® CE
5

Variable Contracts: Case Studies, 1st Edition Revised

Products and Practices
$19.00

Explore the steps in the variable life insurance and annuity sales process through a series of case studies. Meet the clients, conduct a fact-finding interview, create a plan, present the plan, and follow up to determine if the plan continues to best serve the client.

SKILL LEVEL:
Intermediate
CREDIT HOURS:
Products and Practices
3
Eligible CE IWI
3
Eligible CFP® CE
3

Disclaimer: NASAA does not endorse any particular provider of CE courses. The content of the course and any views expressed are those of Kaplan Financial Education and do not necessarily reflect the views of NASAA or any of its member jurisdictions.