RIA Regulatory Update 2026 Ethics IAR CE — Self-Study: Read + Watch + Listen
Professional education: read the DOCE, stream the video, or listen to the podcast, then complete the required exercises and assessment for eligible CE/CPE credit.
CE Submission & Approval Status
| CE/CPE Status | ||
|---|---|---|
| Organization | Status | Course ID |
| NASAA | Approved |
C82252 |
| IWI | Approved | 26A4AI30591 |
| NASBA | Approved | — |
| CFP Board | Approved | 351427 |
2026 Regulatory Update for Investment Fiduciaries
Last updated July 30, 2026
Regulatory Risk for Investment Fiduciaries
Extraordinary changes are under way in financial regulation, market structure, public-company disclosures, cryptocurrency, private markets, and regulatory authority—at the same time that artificial intelligence is accelerating the creation and distribution of financial information.
Tyler Gellasch, a securities lawyer who helped draft key provisions of the Dodd-Frank Act, explains how these changes can weaken transparency, oversight, investor remedies, and fiduciary due diligence. He examines reduced public-company reporting, private-credit opacity, tokenized securities, stablecoins, leveraged and decentralized trading, prediction markets, changing state and federal jurisdiction, and challenges to regulatory independence.
Learners receive a practical framework for distinguishing financial innovation from the removal of investor protections—and for recognizing when missing transparency, oversight, or remedies should cause a fiduciary to investigate further or decline a recommendation.
What You Will Learn
- Explain how crisis-driven protections emerge and erode during deregulatory cycles.
- Rank emerging regulatory risks by timing, reach, and potential investor harm.
- Evaluate how reduced reporting and remedies impair fiduciary due diligence.
- Assess tokenized securities’ ownership, custody, oversight, and investor protections.
- Compare stablecoins with bank deposits, including reserves, redemption, and insolvency.
- Detect leverage, concentration, manipulation, and jurisdictional gaps in opaque markets.
- Evaluate private-credit and retirement-vehicle risks throughout the financial system.
- Analyze fragmented trading, weakened order protection, and best-execution risks.
- Assess how political control and jurisdictional gaps weaken investor protection.
- Strengthen fiduciary controls for products affected by rapidly changing regulation.
Self-Study Learning Experience
Complete the class in the format or formats you prefer: watch the webinar replay, read the PDF on a computer, phone, or tablet, listen to the podcast audio, or print and read the course document.
- Complete the Review Exercise.
- Score 70% or higher on the 10-question assessment in three tries or less.
- Submit feedback.
- When the course is approved and you are eligible for credit, follow the course instructions to claim your certificate.
Who Should Attend
This course is designed for investment adviser representatives, CFP® professionals, CIMA®, CPWA®, RMA®, CPA financial planners, and other fiduciaries who need to understand how fast-moving regulatory changes affect recommendations, supervision, disclosure, custody, market access, and investor protection.
Course Details
- Instructor: Tyler Gellasch
- Delivery method: Self-study
- Level: Update
- Prerequisites: None
- Advanced preparation: None
- Field of study: Regulatory ethics and compliance
- Price: Free for A4A members; $34.99 for non-members
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Instructor(s)
Tyler Gellasch
[email protected]
Tyler Gellasch is the President and CEO of the Healthy Markets Association, an investor-focused not-for-profit focused on increasing transparency and reducing conflicts of interest in the capital markets. Prior to launching Healthy Markets in 2015, Gellasch served as Counsel in the US Senate, where he helped draft key provisions to the Dodd-Frank Act and other financial laws. Gellasch's public service also included serving as Counsel to SEC Commissioner Kara M. Stein. In private practice, Gellasch has served as a general counsel of a boutique investment bank, as well as associate at Mayer Brown LLP and Morgan, Lewis & Bockius, LLP.
Gellasch is also a Founder of Myrtle Makena, LLC, a consulting firm, where he advises for-profit entities and not-for-profit organizations on capital markets policy. Gellasch received his undergraduate degree from Case Western Reserve University. Both his juris doctor and master's degree in economics were awarded by Duke University.