Calendar & Event Registration

Dates: August 17, 19, 21, 25 and 27
Time: 1:00 pm – 3:00 pm ET
Registration deadline: August 10, 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: September 14, 16, 18, 22 and 24
Time: 11:00 am – 1:00 pm ET
Registration deadline: September 7, 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

Date: October 8, 2026
Time: 7:30 am – 5:30 pm PDT
Location: Newport Beach Marriott Bayview
500 Bayview Circle, Newport Beach, CA 92660
Registration deadline: September 25, 2026, at 4:00 PM ET

The AIF® Capstone, content available Mid-July, is a hybrid course consisting of a one day, instructor-led seminar, following the AIF Self-paced Online training. The AIF training content details a comprehensive and defensible investment decision-making process with an emphasis on legal and regulatory obligations associated with the fiduciary standard and professional best practices. The online component is available for 180 days from date of purchase. Successful completion of AIF Training is one of the requirements for attaining AIF Credential.

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Dates: October 5, 7, 9, 13, and 15
Time: 2:00 pm – 4:00 pm ET
Registration deadline: October 8, 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.

Dates: November 2, 4, 6, 10 and 12
Time: 1:00 pm – 3:00 pm ET
Registration deadline: November 5, 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.

Dates: November 30, December 2, 4, 8, and 10
Time: 11:00 am – 1:00 pm ET
Registration deadline: December 3, 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.

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: June 11, 2026
Time: 2:00 pm ET

As regulatory expectations continue to evolve, advisors need a clear understanding of how the Department of Labor’s latest proposed regulation may affect the selection of investments in participant-directed plans. Join Fred Reish, Of Counsel at Ferenczy Benefits Law Center, for an insightful webinar exploring the proposed rules, their practical implications, and the fiduciary considerations advisors should understand.

During this session, Fred will discuss the scope and significance of the August 2025 Executive Order on alternative investments, provide an overview of the DOL’s proposed regulation, and examine how participant-directed plans may be impacted. He will also review the role of “relevant factors” in investment selection, including whether fiduciaries can appropriately consider an alternative investment option, and explain the DOL’s “safe harbor” framework for fiduciaries and advisors conducting prudent investigation and evaluation.

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

• Understand the scope and significance of the August 2025 Executive Order on Alternative Investments.
• Obtain overview knowledge of the DOL proposed regulation on selection of investments for participant directed plans.
• Review of the role of "relevant factors" in investment selection, including six identified relevant factors for all investments, both traditional and alternative.
• Learn more about the DOL “safe harbor" where plan fiduciaries and advisor fiduciaries, conduct an appropriate investigation and evaluation.
• Review DOL examples, including examples of imprudent behavior.

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

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Date: June 16, 2026
Time: 2:00 pm ET

Join us for a unique webinar as we hear the lived experience from the participant’s vantage point.  This session will focus on the behavioral reality of retirement, including what is like to live with various sources of retirement income, including annuities.  Retirees and the moderator will also discuss retirement calculators, what participants value and the education (and advice) it took to prepare for retirement. 

During this session, attendees will:

• Learn about the transition from working years to retirement.
• Identify the tools, resources and income sources that participants value the most.
• Determine how the participant experience can better equip advisors to provide fiduciary leadership to clients.

This live webinar is approved for one (1) hour of Continuing Education (CE) credit for Fi360, CFP Board, and IWI Designations. This session is also pending 1 credit of the Ethics and Professional Responsibility component 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.

Sponsored by:
The Retirement Income Consortium 

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Date: June 18, 2026
Time: 2:00 pm ET

As the qualified default investment alternative (QDIA) landscape continues to evolve, plan sponsors, recordkeepers, and advisors are taking a broader view of how default strategies can better serve a diverse participant population. This educational webinar will examine the full QDIA continuum, including traditional target dates, custom target dates, personalized target dates, advisor managed accounts (AMAs), managed accounts, and dual QDIAs.

The session will focus on the concept of personalized target date approaches and how these solutions may differ from more traditional default structures. It will also address how lifetime income considerations may be incorporated into QDIA design to help support participants not only during accumulation, but as they transition into retirement. Attendees will gain a deeper understanding of key trends, considerations, and evaluation factors shaping the future of QDIAs.

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

• Understand the evolution of QDIAs and the increasing focus on personalization.
• Compare traditional target date approaches with more personalized default investment frameworks.
• Discuss opportunities and challenges associated with integrating lifetime income into QDIA design.

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: July 9, 2026
Time: 2:00 pm ET

As more detailed participant-level data is increasingly available, fiduciaries have new opportunities—and responsibilities—to use that data to enhance oversight and deliver more personalized education and advice. Traditional plan monitoring often focuses on investment performance alone, while overlooking behavioral and engagement metrics that materially affect retirement readiness.

This session explores how fiduciaries can incorporate participant engagement data, contribution behavior analytics, and plan health metrics into their governance and engagement processes. Attendees will examine how digital dashboards and integrated data systems can improve contribution monitoring, streamline payroll accuracy, enhance enrollment processes, and support proactive, goal-based participant engagement strategies. Through the lens of Fi360’s Prudent Practices framework, participants will evaluate how data-driven oversight strengthens documentation, mitigates operational risk, and supports measurable improvements in retirement readiness.

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

• Identify key participant engagement and savings behavior metrics that can serve as indicators of overall plan health.
• Explain how automated contribution monitoring and payroll integration can reduce operational risk and support fiduciary compliance.
• Evaluate how data-driven participant analytics can improve retirement readiness outcomes beyond traditional investment performance reporting.
• Apply a structured framework for incorporating engagement and outcome-based metrics into ongoing fiduciary monitoring and documentation practices.

*Refer to this article for tips on preparing learning objectives

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: July 16, 2026
Time: 2:00 pm ET

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 3: Implement. 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 third of four 2026 webinars, where we’ll cover essential items advisors need to understand and implement in order to serve their clients. Topics include:

• Understanding and executing a due diligence process to select service providers, products and services,
• Reviewing statutory and regulatory safe harbors, and
• Making and documenting investment decisions in accordance with fiduciary obligations.

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: August 11, 2026
Time: 2:00 PM ET

What’s behind every great retirement plan? A great team. In this session, you’ll learn simple, practical strategies to strengthen communication, clarify responsibilities and develop next generation talent — empowering your team to thrive in a rapidly changing retirement landscape.

In this session, attendees will:

• Learn how shared purpose, clear roles and team alignment set the stage for stronger participant outcomes.
• Discover practical tools — from checklists to scoreboards — that help drive consistency, accountability and operational excellence.
• Unlock strategies to develop talent, adapt to change and build a forward looking team prepared for tomorrow’s challenges.

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

Sponsored by:
Capital Group

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Date: September 17, 2026
Time: 2:00 pm ET

Cash balance plans are hybrid defined benefit plans that feel like a 401(k) to clients—an employer-funded “account” that grows with pay credits and guaranteed interest—unlocking larger, tax efficient contributions and more predictable retirement outcomes. Experts from Milliman’s actuarial and operations teams will cover the building blocks of Cash Balance plans before discussing the critical steps needed after a sale.

Our conversation will focus on a holistic implementation process where we’ll discuss data and feasibility confirmation, plan design decisions, investment strategy, document drafting, trust and custody setup, payroll integration, valuation and funding timelines, and go-live milestones. We’ll also discuss the use of technology and other best practices for participant education and election before pivoting to explain how you can position these plans to grow your advisory business with confidence.

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

• Explain the basics of Cash Balance plans, including differentiating between pay credits, interest credits and PBGC premiums.
• State the benefits Cash Balance plans provide employees and employers.
• Learn the steps involved in the Cash Balance sales cycle.
• Identify the parts of a holistic implementation, including plan design, trust and custody, operations and investments.
• Understand the use of technology and other best practices in the participant education and election experience.
• Utilize Cash Balance plans to expand your advisory business.

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

Register now

Date: October 8, 2026
Time: 2:00 pm ET

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.

Register now

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