ERISA Best Practices Course Certificate

ERISA Fiduciary Advisor - Best Practices Course & Documents

This is course is ideal for advisors/CCOs working with "ERISA Covered" clients (i.e., 401(k) participants). It is designed to give you a deep understanding of the ERISA law, the DOL Rules, and all the sample forms and documents for your practice.

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Course curriculum

1. ERISA Best Practices - Introduction
  FREE PREVIEW
2. Quiz - Introduction
3. Legal Information - MUST READ
  FREE PREVIEW
4. Legal Acceptance - MUST COMPLETE
5. History of ERISA & Proliferation of 401(k)
6. QUIZ: History of ERISA & Proliferation of 401(k)
1. Court "stay" disclosure
2. VIDEO: What is an ERISA Covered Account?
3. QUIZ: What is an ERISA Covered Account?
4. VIDEO: Penalties for Non-Compliance
5. QUIZ: Penalties for Non-Compliance
6. VIDEO: How to become an ERISA Fiduciary
7. QUIZ: How to become an ERISA Fiduciary
8. VIDEO: Requirements Under ERISA
9. QUIZ: Requirements Under ERISA
10. VIDEO: Self Dealing & PTEs
11. QUIZ: Self Dealing & PTEs
12. VIDEO: Education VS Advice
13. QUIZ: Education VS Advice
14. VIDEO - PTE 2020-02 Prior (Trump Administration)
15. QUIZ - PTE 2020-02 Prior (Trump Administration)
1. Court "stay" disclosure
2. VIDEO - Best Practices - One Time Items
3. QUIZ - Best Practices - One Time Items
4. VIDEO - Best Practices - Ongoing
5. QUIZ - Best Practices - Ongoing
1. Court "stay" disclosure
2. VIDEO - (New) Retirement Security Rule - Introduction
3. QUIZ - (New) Retirement Security Rule - Introduction
4. VIDEO - (New) Retirement Security Rule - Details
5. QUIZ - (New) Retirement Security Rule - Details
6. VIDEO - Working with IRAs after 9/23/2024
7. QUIZ - Working with IRAs after 9/23/2024
8. VIDEO - New Changes to PTE 2020-02
9. Biden Administration's Amendment to PTE 2020-02
10. QUIZ - New Changes to PTE 2020-02
11. VIDEO - NEW Changes to PTE 84-24
12. Biden Administration's Amendment to PTE 84-24
13. QUIZ - NEW Changes to PTE 84-24
1. Final Exam
1. BONUS: Putting it all together!
1. Legal Acceptance of Sample Documents
2. SAMPLE: Non-Discretionary Advice: Written Prudent Process
3. SAMPLE: Non-Discretionary Advice: Written Fiduciary Acknowledgement
4. SAMPLE: Non-Discretionary Advice: ADV Language
5. SAMPLE: Non-Discretionary Advice: Compliance Manual Language
6. SAMPLE: Discretionary Advice: Written Prudent Process
7. SAMPLE: Discretionary Advice: Written Fiduciary Acknowledgement
8. SAMPLE: Discretionary Advice: ADV Language
9. SAMPLE: Discretionary Advice: Compliance Manual Language
10. SAMPLE: PTE 2020-02 (Rollover) Form
11. SAMPLE: Annual Retrospective Review Form
12. BONUS: Plan Confidence: ERISA Fiduciary Checklist
13. BONUS: Interpretive Bulletin 96-1 (IB 96-1): Participant Investment Education
14. BONUS: Ruling Allows Individuals to Recover Individual 401(k) Losses (2008)
15. SAMPLE: Plan Confidence Corp - Terms & Conditions (Legal Info for Participants)
16. SAMPLE: Plan Confidence Corp - ADV (Legal Info for Participants)
1. Course Evaluation

About this course

$399.99
58 lessons
6.5 Hours of CFP CE Credit
6 Hours of IAR "Ethics" CE Credit
Sample Forms & Documents

Social proof: reviews

Valuable, content rich, easy to digest

Joshua Henry

I learned a lot from the course. So much of it I did not know. The videos made it very easy to digest. A combination of the quizzes and that the course went over key items helped me to learn and remember information that was new to me. I do serve as a fiduciary on a 401k and the course was valuable. Also, the rules for what constitutes and ERISA fiduciary were important to know

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Best practices-ongoing

Tracy McCary

I learned a lot from this course. It was put together very well. Tracy

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Be confident when working with "held away" 401(k) accounts!

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ERISA Fiduciary Advisor - Best Practices Course & Documents

Course curriculum

Introduction

ERISA Basics

Best Practices

Biden Administration Changes

FINAL EXAM

BONUS: Putting it all together

Sample Documents