self study

This program fulfills the requirement for CFP Board approved Ethics CE. It has been designed to educate CFP® professionals on CFP Board's new Code of Ethics and Standards of Conduct effective October 1, 2019.

This comprehensive session unravels the intricacies of dual registration, a key topic in today's financial regulation landscape. Beginning with an overview of its significance, the session covers the definition, scope, and historical evolution of dual registration, detailing the regulatory frameworks of the SEC and state authorities.

This intensive course, presented by compliance lawyer Michelle Atlas-Quinn, is meticulously structured to provide investment adviser representatives with a deep dive into the ethical standards and fiduciary responsibilities critical to their roles.

This educational program, led by compliance lawyer Michelle Atlas-Quinn, provides a comprehensive guide for understanding and addressing critical compliance issues. 

The program is structured into four parts:

This self-study course is a Premium course. We covered distribution rules for account owners and beneficiaries and portability (rollover and transfer) rules for IRAs and employer plans, but there are other rules that are equally important.

This self-study course is a Premium course. Beneficiaries must take required minimum distributions (RMD) from the IRAs and employer plana account they inherit. However, the options for distributions are determined by the class in which a beneficiary fall.

This self-study course is a Premium course. Generally, distributions for IRA owners and plan participants' employer plans are optional until the account owner or plan participant reaches their applicable age to start the required minimum distribution (RMDs). Distributions made early can be subject to a 10% additional tax, but exceptions apply.

This self-study course is a Premium course. When moving IRS and employee plan accounts, the goal is usually to retain tax-deferred status. But one wrong move, one simple mistake, can produce the opposite result—immediate taxability!

This self-study course is a Premium course.