CE Credit: Navigating the Complexities of Dual Registration as Investment Adviser Rep

As the financial regulatory landscape continues to shift, dual registration has become a critical—and often complex—reality for many advisors. We are proud to share this featured session from the Financial Educator Network (FEN), where AdvisorLaw’s own Michelle Atlas-Quinn, J.D., dives deep into the regulatory, operational, and legal nuances of being a dually registered Investment Adviser Representative (IAR).

Why This Session Matters

• Expert Insight: Led by Michelle Atlas-Quinn, J.D., a specialist in navigating the "labyrinth" of compliance.
• High Impact: This session received a 90% Excellent Rating from live attendees.
• Earn Credits: This replay is eligible for:
  • 2 IAR CE Credits (Ethics)
  • 2 CFP® Credits (Professional Conduct)

What You’ll Learn

This comprehensive deep dive is designed to provide clarity on the overlapping jurisdictions of the SEC and state authorities. The session covers:

• The Regulatory Framework: A historical look at how dual registration evolved and the specific mandates you must follow today.
• Compliance & Fiduciary Duty: Navigating reporting requirements and the essential management of conflicts of interest.
• Operational Excellence: The technological infrastructure and data management strategies required to remain compliant without slowing down your firm.
• Legal Safeguards: Best practices for documentation and dispute resolution strategies unique to the dual registration context.