Calendar & Event Registration

Dates: April 20, 22, 24, 28 and 30
Time: 2:00 pm – 4:00 pm ET
Registration deadline: April 13, 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: May 11, 13, 15, 18 and 20
Time: 1:00 pm – 3:00 pm ET
Registration deadline: May 4, 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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Date: Wednesday, June 10, 2026
Location: 605 Third Avenue, 41st Floor, New York, NY 10158
Access Time: 7:30 am – 5:30 pm ET
Registration Deadline: Friday, May 29, 2026

The AIF^® Capstone 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: June 8, 10, 12, 16 and 18
Time: 11:00 am – 1:00 pm ET
Registration deadline: June 1, 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: October 20, 23, and 29 
Time: 12:00 pm – 2:00 pm ET
Registration deadline: October 15, 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.

Date: April 9, 2026
Time: 2:00 pm – 3:00 pm ET

As we’ve seen over the years, geopolitical tension can be a major factor in driving market volatility. In the face of this uncertainty, stable value funds offer risk-averse investors an investment solution designed to deliver capital preservation and guaranteed returns. 

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

• Understand the basics of stable value funds and how they compare to money market funds and short-term bond funds.
• Learn how stable value funds may be a prudent choice in the face of geopolitical and market volatility.
• Explore strategies for navigating market value adjustments. 

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

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Date: April 13, 2026
Time: 2:00 pm – 3:00 pm ET

The Department of Labor’s fiduciary rulemaking and enforcement activity continues to evolve, creating uncertainty and compliance challenges for financial professionals and firms serving retirement investors. With the Retirement Security Rule vacated, changes affecting PTE 2020-02, and renewed regulatory attention on service provider fiduciaries, advisors and home office personnel need a clear understanding of what rules currently apply, what has changed, and what practical steps are necessary to remain compliant.

This webinar will provide a timely update on the current DOL regulatory landscape, including the technical and practical implications of the Retirement Security Rule vacatur, the present status of PTE 2020-02 and the impact of the recent Final Rule, the recently proposed Fiduciary Duties Rule, and other notable items on the DOL’s rulemaking agenda. The session will also examine updated DOL enforcement priorities, with particular focus on fiduciary status, prohibited transaction risk, and areas of heightened scrutiny for firms and service providers.

Attendees will leave with actionable compliance considerations and practical guidance to help assess policies, procedures, supervision, and documentation practices in light of the DOL’s latest rulemaking and enforcement posture.

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

• Describe the current status of the Department of Labor’s Retirement Security Rule and explain the practical compliance implications of its vacatur for advisors and firms.
• Identify the provisions and current applicability of PTE 2020-02, including the impact of the recent Final Rule on fiduciary investment advice and prohibited transaction compliance.
• Summarize key items of the proposed Fiduciary Duties Rule and evaluate how upcoming rulemaking may affect retirement advice business practices and firm oversight.
• Recognize the DOL’s current enforcement priorities, including its renewed focus on service provider fiduciaries, and assess associated areas of regulatory and litigation risk.
• Apply practical action steps to strengthen firm compliance frameworks, including supervisory processes, documentation, conflict management, and policies related to retirement investment advice.

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: April 16, 2026
Time: 2:00 pm – 3:00 pm ET

Most defined contribution (DC) plans were never designed to support participants through retirement; they were only built to help them reach it. But that’s rapidly evolving. In this first session of a multi-part series, we’ll break down the structural gaps in traditional DC plan design and examine the academic and behavioral research driving renewed interest behind in plan retirement income solutions. Attendees will gain a practical framework for communicating the “why now” of in-plan retirement income to plan sponsors, helping move conversations from uncertainty to informed action.

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

• Identify the fundamental challenges that in plan retirement income solutions are intended to solve.
• Understand the key risks retirees face, including longevity risk, sequence of return risk, and spending volatility.
• Build a clear, effective communication strategy to help plan sponsors connect these solutions to both plan-level gaps and participant needs.

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

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Date: April 29, 2026
Time: 2:00 pm – 3:00 pm ET

The Great Wealth Transfer is underway, client expectations are evolving, and advisor capacity is tightening as the industry faces demographic pressures of its own. At the same time, individuals face more complex, high-stakes financial decisions and are actively looking for clear answers to their questions. Yet it has historically been difficult to deliver truly meaningful, personalized guidance to large populations at scale. Clients are expecting the same intuitive and personalized experiences from financial providers that they receive from leading consumer technology platforms.

This is now changing. Advances in AI, data, and digital experience design are making it possible to deliver more relevant, proactive, and personalized financial guidance in ways that are scalable, timely, and accessible. Rather than simply digitizing existing workflows, forward-looking institutions are beginning to apply consumer-grade technology principles to financial experiences that help people make better decisions throughout their financial lives.

In this session, we’ll share how AI is enabling personalization at scale, transforming client data into actionable insights and helping advisors connect with clients at the moments that matter most, enabling firms to engage more users in a deeper and more meaningful way. We’ll also discuss how this approach unlocks new growth opportunities, including high-quality lead generation through the workplace channel—by connecting advisors with individuals earlier in their financial journeys and supporting them with relevant and high-quality digital financial experiences.

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: May 7, 2026
Time: 1:00 pm – 3:00 pm ET
Price: $50.00 USD

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 4. 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.

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Date: May 12, 2026
Time: 2:00 pm – 3:00 pm ET

Cash Balance plans blend the reliability of a defined benefit with the familiarity of a 401(k), delivering higher tax deferred savings, tiered benefits, fixed interest credits, creditor protection, and minimal sponsor risk. In this session, we’ll explain the basics before tackling common questions from advisors, employers, and participants. You’ll learn how designs differ for larger service firms versus smaller entrepreneurial practices, what to consider when adding a Cash Balance plan, and how to 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.
• Identify and answer common Cash Balance questions from advisors, employers and participants.
• The differences between plans for larger service firms (50+ employees) versus smaller “entrepreneur” plans (1-2 owners, few staff).
• Considerations for organizations adding a Cash Balance plan.
• Utilize Cash Balance plans to expand your advisory business.

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

Date: April 6, 2026
Time: 2:00 pm – 3:00 pm ET

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