Expert-Led Instruction

Learn from a NASAA-approved instructor with 20+ years of hands-on RIA compliance and regulatory experience—not just theory, but real-world insights you can apply immediately.

NASAA-Approved Courses

Meet your annual 12-credit requirement with courses approved by NASAA and accepted in all states that have adopted the Model Rule for Investment Adviser Representatives.

Practical and Relevant Content

Go beyond checkbox compliance with courses designed specifically for IARs—covering Products & Practice and Ethics & Professional Responsibility with examples from actual advisory practices.

About the course

For most clients, the years around retirement bring the largest and least reversible financial decisions of their lives: what to do with an employer plan balance, when to claim Social Security, whether to take a pension as a lump sum, and how to turn savings into income that lasts. An IAR cannot advise on those decisions without a working knowledge of the products and rules involved. This course covers the risks that define retirement income planning, the main sources of retirement income, the distribution rules as amended by the SECURE Act and SECURE 2.0, and the common withdrawal strategies. It then covers the rollover decision in detail: the four options for a plan balance, the factors SEC staff expects advisers to consider, the rules that can make a rollover costly for a particular client, and the mechanics of moving money correctly. The final module gives IARs a six-step process for analyzing and documenting a rollover recommendation. The course is educational and product-neutral. A companion Ethics and Professional Responsibility course, The Rollover Conflict: Ethics in Retirement Income and Rollover Advice, covers the ethical side of the same decisions. The two courses do not repeat each other.

Curriculum

5 Chapters · 5 Lessons

    1. (Included in full purchase)

      Course Description

    1. (Included in full purchase)

      What will you learn by the end of this course?

    1. (Included in full purchase)

      From Savings to Income: Retirement Income and Rollover Recommendations

    1. (Included in full purchase)

      From Savings to Income: Retirement Income and Rollover Recommendations

    1. (Included in full purchase)

      From Savings to Income: Retirement Income and Rollover Recommendations

Earn your IAR continuing education credit while turning the rollover decision from a routine transfer into advice you can defend—enroll today.

This NASAA-approved course satisfies 1 credit toward your Products and Practices requirement. Gain practical knowledge from an industry expert with over 20 years of RIA compliance experience, and earn the continuing education credits you need to maintain your registration.

$9.99

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