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Updated April 2026
12 Credit Hour IARCE Course
All 12 NASAA IARCE Credits
Credit Reporting Fee Included
5 Video Lectures
GREENLIGHT GUARANTEE ™
×We are so confident in the ability of our materials to prepare you to pass your exam that we are now offering our GreenLight Guarantee ™
Pass our GreenLight exam within 5 days of your actual exam, and if you do not pass we will refund your money.
For people who purchase exam prep software with the greenlight guarantee
If you bought only the exam prep software we will refund 100% of your purchase price.
For people who purchase a training package with exam prep software with the greenlight guarantee
If you bought any training package with a textbook we will refund 100% of the purchase price of your package less $25 shipping and handling (we always pay for shipping).
What is the GreenLight Exam?
Our Greenlight exams have been developed based on the feedback received from thousands of students, regulatory outlines, rule amendments and notices. The questions in these exams have been developed by a huge team of the industry's foremost exam prep experts.
What are the limitations on the GreenLight Exam?
The Greenlight Exam may only be taken once. This is the score that will be used to determine your readiness to sit for the actual exam.
When should I take my GreenLight Exam?
You should take your GreenLight exam as one of your last exam prep exercises. You should have read your book completely, made notes and reviewed the most challenging areas several times. You should have spent a significant amount of time taking the practice exams and simulated final exams in our test bank prior to taking the GreenLight Exam. Only take the GreenLight Exam when you can give it your full and complete attention without being interrupted.
What if I used materials from another provider?
While we strongly feel that our Wiley Exam Review Guides are the best in the business, we understand that there are other options available. Our GreenLight Guarantee ™ is still in full force for you.
What if I purchased a full study solution and do not pass?
If you bought any training package with a textbook we will refund 100% of the purchase price of your package less $25 shipping and handling (we always pay for shipping).
How do I claim my money back guarantee if I do not pass my exam?
Email your score sheet from your approved test center to greenlight@securitiesce.com. No refunds will be processed without your certified score sheet.
12 Credit Hour IARCE Course
Our complete IARCE program provides you with all 12 credit hours. All of our courses are video based lectures focusing on today’s most critical areas. The 12 hour CE course covers
12 NASAA-approved IAR CE credit hours in a single bundled program
NASAA credit reporting fees included in the course price
Practical
compliance-focused instruction aligned with current regulatory expectations
Courses Included in the Program
This IARCE bundle includes five courses that collectively satisfy the full 12-hour requirement:
Cybersecurity & Data Privacy for Investment Professionals
Cybersecurity & Data Privacy for Investment Professionals is designed to strengthen advisers’ ability to protect client data, safeguard firm systems, and navigate evolving technological risks. The course is divided into three chapters: Cybersecurity Essentials, which covers foundational practices for preventing breaches and ensuring data integrity; Enhanced AML Protocols, which examines the intersection of cybersecurity and anti–money laundering compliance; and Ethical Challenges in AI and Fintech, which explores emerging risks and responsibilities associated with new technologies. Together, these modules provide participants with practical strategies to identify vulnerabilities, meet regulatory obligations, and uphold the highest standards of client trust in a digital environment.
Ethics & Fiduciary Duty
Ethics & Fiduciary Duty is designed to strengthen investment adviser representatives’ understanding of ethical responsibilities and fiduciary obligations in today’s regulatory environment. The course is divided into three chapters: Advanced Ethical Decision Making, which explores complex scenarios and frameworks for principled choices, Ethical Business Practice & the SEC Marketing Rule, which examines compliance with promotional standards while maintaining investor trust, and Investment Advisor Integrity, which reinforces the role of honesty, fairness, and professionalism in client relationships. Together, these modules equip participants with practical strategies to navigate ethical dilemmas, uphold fiduciary standards, and foster long-term confidence in the advisory profession. Why Choose This IARCE Program:
- One purchase satisfies your entire annual IAR CE requirement
- No surprise fees—NASAA reporting is included
- Content designed for real-world advisory and compliance scenarios
- Ideal for individual IARs and firm-wide CE program
Retirement Planning & Income Strategies for Today’s Advisors
Retirement Planning & Income Strategies for Today’s Advisors prepares investment professionals to address the evolving needs of retirees while ensuring compliance with ethical and regulatory obligations. The course includes two chapters: Ethically Serving Senior & Vulnerable Investors, which focuses on recognizing risks such as diminished capacity, financial exploitation, and tailoring advice to meet fiduciary responsibilities; and Reg BI Practical Applications, which focuses on applying the best interest standard when recommending products. Together, these modules provide participants with the knowledge to design appropriate retirement income solutions, protect vulnerable clients, and maintain compliance in today’s complex regulatory environment.
Understanding & Recommending Investment Products in a Changing Market
Understanding & Recommending Investment Products in a Changing Market equips investment professionals with the knowledge and skills to evaluate products and practices in today’s evolving regulatory and market environment. The course is divided into three chapters: Trading Practices for Investment Advisors, which covers effective, compliant, and client-focused trading strategies; Insider Trading & Market Manipulation, which addresses the identification and avoidance of improper market conduct; and Annual AML Update, which reinforces best practices for detecting, preventing, and reporting money laundering activities in retirement-focused investment strategies. Collectively, these modules provide participants with the practical tools to recommend products responsibly, maintain compliance with regulatory obligations, and uphold client trust in a dynamic marketplace.