| Organization | Status | Course/Sponsor ID | Category |
|---|---|---|---|
| NASAA | Approved for LIVE credit; Self-Study pending | C82551 | Ethics & Professional Responsibility |
| IWI | Submitted; approval pending | 26A4AI31785 | Ethics |
| NASBA | Registered sponsor; program credit eligibility under review | 123362 | Regulatory Ethics |
| CFP Board | Pending Review | 355245 | Not yet assigned |
Recorded November 4, 2026. Updated November 6, 2026.
Tyler Gellasch, J.D., answers questions from Andrew Gluck about congressional oversight, shareholder rights, derivatives, private-market risks, alternatives in ERISA plans, AI trading and cybersecurity.
Congressional Oversight and Agency Power. Explain how congressional oversight and agency composition can affect the regulatory risks fiduciaries monitor.
Shareholder Rights and Voting Policies. Assess how shareholder proposals, voting policies, and investor communication affect shareholder accountability.
Policy Changes Before January. Describe why Tyler expects Republican-led regulators to accelerate policy changes before the new Congress convenes in January, and distinguish the tools Congress could use to constrain those changes.
Stock Ownership and Derivative Exposure. Distinguish stock ownership from derivative exposure and identify leverage and market-surveillance concerns.
Commission Appointments and Independence. Explain how nomination, confirmation, and removal incentives can affect commission independence.
Reporting Rules and Funding Leverage. Explain why the timing of a reporting rule can affect Congress's ability to influence it through funding.
Private Market Valuation and Leverage. Identify private-market valuation, leverage, and client-communication issues relevant to fiduciary judgment.
Prudence in Retirement Plan Investments. Explain why permission to consider an alternative retirement-plan investment does not establish that it is prudent.
AI Trading and Cybersecurity Risks. Identify how AI trading and the combination of market functions can create operational and cybersecurity risks.
Derivatives and Connected Market Risks. Explain how risks in stock derivatives may affect the underlying stock market and investor oversight.
Replay the 49:30 webinar video for credit. The document optimized for CE (DOCE) and MP3 are optional resources in the same Class Content lesson.
To get credit, complete three review exercises and a scored assessment; the passing score is 70% within three attempts. The assessment presents 10 questions from a 15-question bank. Complete the feedback step and follow the certificate instructions.
Self-study approval is pending. See the organization-specific status table above. A course-completion certificate does not establish approved CE/CPE credit.
Investment adviser representatives, financial planners and other fiduciaries seeking to understand the post-election regulatory environment and its implications for professional responsibility and investor oversight.
Instructor: Tyler Gellasch, J.D.
Host: Andrew Gluck
Delivery: Recorded webinar self-study
Level: Update
Prerequisites: None
Advanced preparation: None
Price: Free for A4A members; $34.99 for non-members.
Neurodivergence is diagnosed in nearly 15% of the U.S. population and another 15% are undiagnosed. Learn how ADHD and autism affect client communications, client decision-making, and fiduciary duty.
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