Gulfstream 25.1Ethics and Professional Responsibility
NASAA Approved for IAR CE Credit · 6 credits
Fiduciary Duty and Ethical Practice for Investment Adviser Representatives: 25.1
Explore fiduciary duties of care and loyalty, conflicts, disclosure, compensation, client relationships, ethical communications, cybersecurity and artificial intelligence through practical advisory situations.
Course details & learning objectives
Official NASAA catalog listing verified 2026-10-08. Confirm current eligibility and availability before enrollment.
- Course ID
- C82490
- Content area
- Ethics and Professional Responsibility
- IAR CE credits
- 6
- Approval active through
- Confirm before enrollment
- Complexity
- Advanced
- Format
- Text-Only
- Delivery
- On Demand
- Estimated completion time
- To be announced
- Price
- To be announced
Selected learning objectives
- Explain fiduciary duties of care and loyalty and identify material conflicts of interest.
- Evaluate disclosure, compensation, fees, advertising and marketing from an ethical and regulatory perspective.
- Apply professional-conduct principles and ethical decision-making to client relationships, recommendations and emerging technology.
Self-study courses require successful completion of an assessment. Final enrollment terms and all required fees will be disclosed before enrollment.