This course, Supreme Court Rejects Key SEC Enforcement Method, examines the landmark Supreme Court decision that significantly curtails the SEC's ability to impose civil penalties through administrative proceedings. The course explores the ruling's constitutional foundation, particularly its reliance on the Seventh Amendment right to a jury trial, and its broader implications for financial professionals, regulatory agencies, and legal enforcement mechanisms. Participants will gain insight into how this decision reshapes SEC enforcement strategy, affects state regulatory agencies, and empowers defense attorneys in financial fraud cases. Additionally, the course discusses potential future legal challenges, including the possibility of further limitations on administrative enforcement across various federal and state agencies.
This course, presented by Paul Hood, provides an in-depth analysis of the potential tax law changes following the 2024 election and their impact on financial planning strategies. The session covers key issues such as the Byrd Rule's effect on the Tax Cuts and Jobs Act, the likelihood of legislative modifications before provisions sunset in 2026, and how political dynamics influence tax policy decisions. Participants will gain insights into strategic tax planning, including considerations for estate and gift taxes, charitable contributions, grantor trusts, and asset protection strategies. The course emphasizes risk assessment for clients, highlighting prudent approaches to managing uncertainty in light of evolving tax laws. Through detailed discussions on various planning techniques, professionals will be better equipped to advise clients on actions to take'or avoid'as they prepare for future legislative changes.
The course for CFP and CPA financial planning professionals focuses on equipping fiduciaries with essential skills to evaluate, justify, and manage life insurance policies under best-interest regulations. Participants learn about cost-transparency, policy illustrations, and diversification strategies, ensuring recommendations align with fiduciary standards like those outlined by FINRA and the Uniform Prudent Investor Act. The class also emphasizes leveraging independent research tools like Veralytic and using stochastic modeling to assess long-term policy viability. This ensures practitioners can confidently navigate the complex life insurance landscape, protecting client interests and complying with evolving industry regulations.
Craig Turner demonstrates how investment adviser representatives can use AI to validate household financial-planning data and build reviewable dashboards using a synthetic workbook. The class covers source preservation, privacy, verified record identifiers, exception handling, reconciliation, formula checks, dashboard totals, projection assumptions and controlled sensitivity testing while retaining human review and professional judgment. The live workshop was delivered September 22, 2026. The self-study version requires reading the final DOCE containing the presentation script and slides, completing five review exercises and passing a 10-question assessment. The replay and audio are supplementary; their time is not added to the required reading for credit.
Technically sound financial advice does not always produce client action. This course gives advisors a practical framework for determining why a client is not implementing a recommendation and what to address first. Participants learn to distinguish five common barriers—misunderstanding, cognitive bias, emotion, relationship conflict, and low readiness—and to recognize when more than one barrier is operating. The course then introduces a neutral, question-based method for identifying the controlling barrier: the barrier that must be addressed before the client can move forward.
The presentation emphasizes observation, inquiry, and appropriate initial responses. It does not train advisors to diagnose clients or provide mental-health treatment; instead, it strengthens the advisor’s ability to clarify, explore, sequence, and facilitate sound client decision-making within the advisor’s professional role.