Quarterly Practice & Regulatory Update for Individuals – Q3 2025

Overview

The regulatory world is complex for financial advisors. Not only are you subject to SEC and FINRA regulations, but also what the IRS does as well. Clients expect you to be on top of what is happening in the world of investing, insurance, and taxes. It is not enough to just know the code section or the final rule affecting them. Your clients want to know how changes and updates affect their financial well-being. And what if you are a Certified Financial Planner? Then we need to worry about CFP Board too! It is enough to make your head spin!   That’s where our quarterly practice and regulatory update can help. In this 4-hour update, we will discuss regulatory happenings from many different areas that affect financial advisors. Don’t worry. We won’t just hurl code sections at you. Using practical and easy to understand examples, we will illustrate the concepts that mean the most to you – so you will be well-prepared for the many things that a client throws your way!

Highlights

• SEC Regulatory & Compliance Updates 
• Recent CFP Board Announcements & Areas of Focus 
• IRS Updates 
• Emerging issues for financial advisors

Prerequisites

Previous experience in financial planning, investment management, or other related financial professional fields.

Designed For

Experienced tax professionals and financial advisors.

Objectives

• Identify new legislation and rules affecting financial advisors and their clients. 
• State areas of focus for regulatory bodies. 
• Recall difficult to navigate areas for CFP professionals. 
• Recognize potential client questions about financial planning.

Preparation

None

Notice

This course is offered by a 3rd party vendor and will not be accessible in the My CPE Tracker section of the ISCPA website. Course access information will be emailed directly to you by Peters Professional Education.