Registration

The first i-LearnERISA program responds to PTE 2020-02 with the following courses:

  • Rollover rules are constantly changing in light of DOL and SEC guidance. Through this course, you will learn the steps to uncovering plan distribution options; be able to recognize four common rollover scenarios; and implement a systematic process for repeating compliant rollovers that benefit your clients and limit liability for advisors and their firms. At the completion of this course, you will be educated and equipped to confidently instruct and advise plan participants as the "go to" advisor for that organization's benefit offerings; and roll over assets where and when appropriate in a compliant manner.
  • Making certain recommendations to rollover retirement plan assets is now a fiduciary act, subject to standards of care similar to that required for investment recommendations. Fiduciary rollover recommendations must therefore comply with the level of prudent practices and documentation that were previously reserved for investments.

    This self-study course is designed to give financial professionals and compliance departments an understanding of the regulatory framework related to rollovers, the applicability of the new Prohibited Transaction Exemption (PTE 2020-02), processes and prerequisites, as well as pros and cons of various rollover advice arrangements.

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Training

CFP CE credit

$20 fee per course is required to receive credit. CE is not required to register.

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