2026 Ethics in Action is a 6-hour continuing education course designed to meet NASAAs ethics-related CE requirements while equipping Investment Advisor Representatives (IARs) with practical tools to navigate the complexities of modern financial advising. Through 27 comprehensive chapters, the course covers fiduciary responsibilities, transparency, cyber security, emerging technologies like blockchain and AI, ESG investing, and regulatory compliance. Participants will engage with real-world case studies, knowledge checks, and actionable strategies to build trust, manage risks, and adapt to evolving industry challenges. This course is ideal for IARs seeking to strengthen ethical decision-making, meet regulatory standards, and enhance client relationships, earning 6 CE credits upon completion to meet the Ethics CE requirement.
This course provides advisors with a comprehensive 2026 market outlook and strategies for navigating complex financial challenges. It explains the purpose and impact of current macro trends, including global election cycles, geopolitical events, and interest rate movements, on client portfolios. The content includes an in-depth review of emerging investment trends, such as the rapid growth of active ETFs, the application of artificial intelligence (AI), and cryptocurrency investments. Participants will learn top strategies to integrate these insights and trends into actionable financial advice to help clients meet their long-term financial goals.
2026 Planning Essentials - New Limits, Rules & Client Strategies
Financial professionals specializing in 401(k) plans can significantly enhance the financial security of the U.S. workforce at retirement and attract a steady stream of clients. This course provides an overview of 401(k) plans, helping professionals become trusted partners by understanding how these plans work and how to use them to meet clients’ retirement goals.
Adding retirement plan business to your practice can help you retain assets, stabilize investment flows and increase ancillary sales. This session will help you navigate the critical decision of whether to incorporate 401(k) plan services into your practice or partner with retirement specialists. This session will equip you with essential knowledge of retirement plan options, vendor relationships, and a tested service delivery framework to make the right strategic choice for your business and clients.
5 Estate Planning Tactics That Add Value and Drive Action for Clients at Any Wealth Level
The Tax Cuts and Jobs Act sunset has put a spotlight on estate planning for the past few years. However, after the Republican sweep in the 2024 election, estate planning may become lower on the client priority lists. Although major estate tax impacts from changing tax law are no longer expected, there are still several ways that neglecting estate planning can make wealth transfers more complex than necessary and may leave the client's wishes completely unmet. In this webinar, Martin Shenkman explains the vital role financial advisors can play in assisting clients with estate planning without venturing into the unauthorized practice of law. Executable service offerings for clients with and without AI are discussed, such as creating estate planning summaries, reviewing client account titles, highlighting issues in power of attorney planning, helping prepare client's assets for management by a power of attorney, and discussing how provisions in revocable trusts can be used to minimize the risks of elder abuse.