Calendar & Event Registration

Dates: November 2, 4, 6, 10 and 12
Time: 1:00 pm – 3:00 pm ET
Registration deadline: October 26, 2026, at 4:00 pm ET

This is a live, virtual training course with a Broadridge provided instructor for participants who wish to learn about the investment fiduciary methodology. It is also a core requirement to obtain the AIF® designation. The course will be conducted online using the Webex software platform. Students are not expected to turn on their webcams.

The course includes five 2-hour sessions, for a total of 10 hours. Prior to attending the course, participants are expected to read the Prudent Practices® for Investment Advisors handbook, which will be made available to registrants through the learning management system. Students are expected to attend all live classes.

After completing the course, participants can schedule their exam using our remote proctor service, ProctorU at no additional charge.

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Dates: November 30, December 2, 4, 8, and 10
Time: 11:00 am – 1:00 pm ET
Registration deadline: November 23, 2026, at 4:00 pm ET

This is a live, virtual training course with a Broadridge provided instructor for participants who wish to learn about the investment fiduciary methodology. It is also a core requirement to obtain the AIF® designation. The course will be conducted online using the Webex software platform. Students are not expected to turn on their webcams.

The course includes five 2-hour sessions, for a total of 10 hours. Prior to attending the course, participants are expected to read the Prudent Practices® for Investment Advisors handbook, which will be made available to registrants through the learning management system. Students are expected to attend all live classes.

After completing the course, participants can schedule their exam using our remote proctor service, ProctorU at no additional charge.

Register now

Dates: January 19, 21, 25, 27, and 29
Time: 11:00 am – 1:00 pm ET
Registration deadline: January 12, 2027, at 4:00 pm ET

This is a live, virtual training course with a Broadridge provided instructor for participants who wish to learn about the investment fiduciary methodology. It is also a core requirement to obtain the AIF® designation. The course will be conducted online using the Webex software platform. Students are not expected to turn on their webcams.

The course includes five 2-hour sessions, for a total of 10 hours. Prior to attending the course, participants are expected to read the Prudent Practices® for Investment Advisors handbook, which will be made available to registrants through the learning management system. Students are expected to attend all live classes.

After completing the course, participants can schedule their exam using our remote proctor service, ProctorU at no additional charge.

Register now

Dates: February 8, 10, 12, 16, and 18
Time: 1:00 pm – 3:00 pm ET
Registration deadline: February 1, 2027, at 4:00 pm ET

This is a live, virtual training course with a Broadridge provided instructor for participants who wish to learn about the investment fiduciary methodology. It is also a core requirement to obtain the AIF® designation. The course will be conducted online using the Webex software platform. Students are not expected to turn on their webcams.

The course includes five 2-hour sessions, for a total of 10 hours. Prior to attending the course, participants are expected to read the Prudent Practices® for Investment Advisors handbook, which will be made available to registrants through the learning management system. Students are expected to attend all live classes.

After completing the course, participants can schedule their exam using our remote proctor service, ProctorU at no additional charge.

Register now

Dates: March 15, 17, 19, 23, and 25 
Time: 11:00 am – 1:00 pm ET
Registration deadline: March 8, 2027, at 4:00 pm ET

This is a live, virtual training course with a Broadridge provided instructor for participants who wish to learn about the investment fiduciary methodology. It is also a core requirement to obtain the AIF® designation. The course will be conducted online using the Webex software platform. Students are not expected to turn on their webcams.

The course includes five 2-hour sessions, for a total of 10 hours. Prior to attending the course, participants are expected to read the Prudent Practices® for Investment Advisors handbook, which will be made available to registrants through the learning management system. Students are expected to attend all live classes.

After completing the course, participants can schedule their exam using our remote proctor service, ProctorU at no additional charge.

Register now

Dates: October 20, 23, and 29 
Time: 12:00 pm – 2:00 pm ET
Registration deadline: October 13, 2026, at 4:00 pm ET

AIFA^® designation training prepares participants to conduct fiduciary assessments on an organization's conformance to legal and regulatory obligations associated with the fiduciary standard and professional best practices. The course consists of online pre-work, three live virtual training sessions, and a case study assessment using the CEFEX Electronic Assessment Form.

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Date: October 6, 2026
Time: 2:00 PM ET
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This presentation will provide an in-depth look at the recently revised fourth edition of the Prudent Practices for Investment Advisors Handbook, focusing on Step 4: Monitor. We will start by reviewing our formal governance process for creating and maintaining the Prudent Practices®, share the detailed activities that ensure the four-part Fiduciary Quality Management System (FQMS) is up-to-date, and highlight what has changed with the most recent publication of the Prudent Practices® handbook.

This is the fourth and final Prudent Practices® webinar, where we’ll cover essential items advisors need to understand and implement in order to serve their clients. Topics include:

• Evaluating investment performance against appropriate benchmarks and portfolio objectives,
• Reviews of qualitative and/or organization changes,
• Trading practices and proxy voting,
• Fee and service reviews, and
• How to evaluate an organization’s effectiveness at meeting fiduciary responsibilities.

This session is important for both newer fiduciaries as a deep dive into understanding and implementing fiduciary principles as well as experienced professionals to stay up to date with the latest fiduciary best practices.

This live webinar is pending approval for one (1) hour of Continuing Education (CE) credit for Fi360, IWI and CFP Board Designations. This live session is also pending approval for one (1) credit under Ethics and Professional Responsibility for IAR CE. NASAA does not endorse any particular provider of CE courses. The content of the course and any views expressed are my/our own and do not necessarily reflect the views of NASAA of any of its member jurisdictions.

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Date: October 15, 2026
Time: 2:00 PM ET
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The old playbook for asset allocation is being rewritten. What worked over the past decade may not work in the next. Hear David Schassler, VanEck’s Head of Multi-Asset Solutions, provide a timely update on the shifting structural forces that are reshaping markets, and what it means for portfolio positioning going forward.

By the end of the session, attendees will be able to:

• Identify the structural themes reshaping markets: Debasement (gold, bitcoin, real assets), digitization (AI’s shift from build-out to adoption), and decarbonization (energy security and capacity).
• See how these themes are translating into real portfolio decisions across AI, real assets, private credit, gold, and bitcoin.
• Apply these insights to portfolio construction using concrete allocation examples that challenge the assumptions behind the traditional 60/40 approach.

This live webinar is currently pending approval for one (1) hour of Continuing Education (CE) credit for Fi360, CFP Board, and IWI Designations.

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Date: October 21, 2026
Time: 2:00 PM ET
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What plan sponsors have learned to do for their retirement plans, they should now be doing for their health plans. Retirement plans have long been governed by disciplined fiduciary oversight, benchmarking, and documented decision-making. Healthcare plans are rapidly moving in the same direction. This session will explore how plan sponsors can apply retirement-plan governance best practices to their health benefits strategy.

In addition to perspectives from industry experts, you'll hear directly from a CHRO of a publicly-traded firm who has navigated these challenges firsthand—sharing practical lessons, real-world decisions, and what it takes to build a more defensible, high-performing health plan.

By the end of the session, attendees will be able to:

• Compare plan sponsor oversight structure, responsibilities, and decision matrix for retirement plans vs employer-sponsored health plans.
• Understand how corporate health plans are marketed, financed, and managed through broker support and how retirement advisors can bring value to the process.
• Identify key current day differences between fiduciary oversight of retirement plans and the broker-led health plan model.
• Explore how advisors can apply retirement-plan fiduciary principles to strengthen health plan governance, transparency, and outcomes.

This live webinar is currently pending approval for one (1) hour of Continuing Education (CE) credit for Fi360, CFP Board, and IWI Designations.

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Date: October 27, 2026
Time: 2:00 PM ET
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Join us for the second webinar in our Private Markets Investments in Defined Contribution series, featuring a deeper look at private real estate and its role within the defined contribution landscape. Building on our introductory session, this webinar will explore the key characteristics of private real estate investments and considerations for incorporating the asset class into retirement plan investment offerings.

Designed for financial advisors and other retirement industry professionals, the session will provide practical perspectives on the opportunities and challenges associated with private real estate while expanding on its place within the broader private markets landscape.

By the end of the session, attendees will be able to:

• Understand the key characteristics of private real estate as an investment asset class.
• Identify the potential role of private real estate within defined contribution plan investment offerings.
• Evaluate key considerations and challenges associated with incorporating private real estate into defined contribution plans.
• Recognize how private real estate differs from other private market asset classes and traditional investment options.

Sponsored by: 
DCALTA

This live webinar is currently pending approval for one (1) hour of Continuing Education (CE) credit for Fi360, CFP Board, and IWI Designations.

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Date: November 5, 2026
Time: 1:00 PM - 3:00 PM ET
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Join us for a dynamic, live CFP® Ethics CE Program led by respected industry expert Mario Giganti, CFP®. The CFP Board–approved course, offered at a fee of $50, fulfills your two-hour Ethics Continuing Education requirement and ensures you’re up to date on the CFP Board’s new Code Ethics and Standards of Conduct, effective July 1, 2024.

By the end of this program, the participant should be equipped to:

• Understand the structure and content of the revised Code and Standards, including significant changes from prior rules.
• Describe CFP Board’s Fiduciary Duty.
• Identify Material Conflicts of Interest and How to Avoid, or Fully Disclose, Obtain Informed Consent, and Manage Them.
• Understand the Duty to Report to CFP Board and the Duty to Cooperate.
• Identify the Practice Standards When Providing Financial Advice that Requires Financial Planning or Financial Planning.
• Understand the Duty to Provide Information to Clients When Providing Financial Planning and/or Financial Advice.

This live session is approved for two (2) hours of Continuing Education (CE) credit for Fi360, IWI, and CFP Board designations.

This live session is also approved for two (2) credits under Ethics and Professional Responsibility for IAR CE. NASAA does not endorse any particular provider of CE courses. The content of the course and any views expressed are my/our own and do not necessarily reflect the views of NASAA or any of its member jurisdictions.

Register now

Fiduciary responsibilities continue to evolve as financial professionals navigate increased regulatory attention, litigation activity, fee pressure, advisor competition and heightened expectations from clients and plan sponsors. For professionals who manage or advise on investor assets, a clear understanding of fiduciary roles, responsibilities and process is essential.

This webinar provides an educational overview of the fiduciary trends shaping today’s financial services environment. In this session, we will explore why a thoughtful, documented investment process matters and introduce AIF^® Designation Training. Attendees gain insight into:

• The key elements of a fiduciary process
• Current fiduciary and advisor market trends
• The roles and responsibilities of investment fiduciaries
• The four-step Prudent Practices^® framework
• The path to earning the AIF^® designation
• Professional and continuing education benefits available to AIF® designees

Watch the on-demand recording to see how AIF^® Training can help you build foundational knowledge of fiduciary principles, standards of conduct and the processes that support fiduciary responsibility across wealth management, retirement and nonprofit client relationships.

Whether you are exploring looking to strengthen your understanding of the fiduciary process or seeking a practical resource for more informed client and plan sponsor conversations, this webinar will provide a valuable introduction to the fiduciary concepts shaping professional practice today.

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Investment due diligence and fiduciary oversight are essential, but for many firms the process is still too manual, inconsistent, and difficult to scale. As plan counts grow and reporting expectations increase, advisors need a more efficient way to evaluate investments, apply monitoring rules, and communicate recommendations with confidence.

In this webinar, we show how firms can modernize their fiduciary review process using configurable scoring frameworks, automated watch and remove rules, and batch reporting options to reduce prep time from hours to minutes. You’ll learn how to:

• Create a more documented, repeatable fiduciary review process
• Score and evaluate investments using customizable due diligence criteria
• Automate watch list and removal workflows for greater consistency and efficiency
• Streamline monitoring across multiple plans or client segments
• Deliver clearer, more professional reporting to committees and clients

Whether you’re a retirement plan specialist, investment consultant, or advisor with a growing practice, this session demonstrates how to make your fiduciary processes more operationally efficient. Access the on-demand recording to explore practical ways to save time on fiduciary reviews without adding complexity to your workflow.

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Choosing the right target date series is one of the most critical decisions plan fiduciaries and advisors make. With target date funds representing trillions in U.S. 401(k) assets and more than 90% of plans offering them, having access to reliable data is paramount.

Join us as we unveil the new Target Date Series module in Broadridge’s Retirement Product Evaluator—the latest addition to our flexible, multi-module platform that already supports due diligence for Stable Value, In-Plan Retirement Income, and DC Managed Account Programs.

In this 30-minute session, you’ll see how the Target Date Series module helps you:

• Evaluate multiple target date series side-by-side in a dynamic, intuitive interface
• Assess 50+ independent data points sourced directly from fund managers
• Compare glidepaths, investment philosophies, and cost structures quickly and consistently
• Demonstrate a prudent, process-driven review of available target date series options with client-ready reports
• Eliminate manual data gathering and standardize target date series due diligence across your firm

Built on an unbiased, regularly updated database, the Target Date Series module supports your fiduciary governance by making it easier to research, evaluate, and document your target date series recommendations—while saving time and reducing risk.

View on-demand