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"FSP webinars have tremendous value for financial professionals. There is a wide array of interesting topics to choose from, and the ability to assemble a group of individuals lets you extend and amplify the value of the program. When supporting material is provided, such as articles, web sites, etc., attendees can continue the dialogue when the program ends."

Laurene B. Prevette, RHU, LUTCF
FSP Board of Directors, 2011-2012

The Rising Tide in Standards of Care: How to Stay Afloat in Turbulent Seas

CIE State CE Credit Approvals
State CE Credits State CE Credits State CE Credits
Alabama Kentucky North Dakota
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Connecticut Minnesota South Carolina
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CLE State CE Credit Approvals
State CE Credits State CE Credits State CE Credits
Alabama Kentucky North Dakota
Alaska Louisiana Ohio
Arizona Maine Oklahoma
Arkansas Maryland Oregon
California Massachussetts Pennsylvania
Colorado Michigan Rhode Island
Connecticut Minnesota South Carolina
DC Mississippi South Dakota
Delaware Missouri Tennessee
Florida Montana Texas
Georgia Nebraska Utah
Hawaii Nevada Vermont
Idaho New Hampshire Virginia
Illinois New Jersey Washington
Indiana New Mexico West Virginia
Iowa New York Wisconsin
Kansas North Carolina Wyoming

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CPE CE Credit Approvals

The recommended number of CPE credit hours is:

The Society of Financial Service Professionals is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.learningmarket.org.

The Society offers programs at intermediate to advanced levels of continuing professional education. Although no pre-requisite course or advanced preparation is needed to participate in any program, knowledge of, or experience in, the program topic is required.

The Society's Refund Policy states that a refund may be given in most circumstances, less a $50 service fee. For more information regarding administrative policies on complaints and refunds, please contact our office at (800) 392-6900.

The following State Boards of Accountancy will accept CPE credit from National Registry Sponsors:

Alabama
Alaska
Arkansas
California
Colorado
Connecticut
Delaware
District of Columbia
Florida 		Georgia
Guam
Hawaii
Idaho
Iowa
Illinois
Indiana
Kansas
Kentucky 		Louisiana
Maine
Maryland
Massachusetts
Michigan
Minnesota
North Carolina
North Dakota
Mississippi 		Missouri
Montana
Nebraska
Nevada
New Hampshire
New Jersey
New Mexico
New York
North Carolina 		North Dakota
Ohio
Oklahoma
Oregon
Pennsylvania
Puerto Rico
Rhode Island
South Carolina 		South Dakota
Tennessee
Texas
Utah
Vermont
Virginia
West Virginia
Wyoming

There are no formal registration requirements for course providers in the balance of the states.

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CFP CE Credit Approvals

This program has been awarded up to: hours of CFP credit.

"The marks CFP and Certified Financial Planner are owned by the Certified Financial Planner Board of Standards, Inc."

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PACE CE Credit Approvals

This program has been awarded up to: hours of PACE credit.

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ICB CE Credit Approvals
Title CE Credits Title CE Credits
CCTS: CRSP:
CISP: TAX:
CTFA: FP:

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CE Credits [For National Showings]
ICB CFP CIE CLE CPE PACE

A Video Teleconference (VTC) produced by the Society of FSP. VTCs are educational programs streamed over the Internet and hosted by local Chapters.

National Broadcast Dates:

May 18, 2011 1:00 p.m. – 3:15 p.m. ET
May 19, 2011 9:00 a.m. – 11:15 a.m. ET

*Chapters can offer programs on national broadcast dates or a date of their own choosing. Each Chapter also determines the cost and location for its program. The list of Chapters that have purchased this VTC is below. Contact them directly to get the details. If your Chapter is not listed, contact your Chapter about its plans to present this program.

Participating Chapters

Program Overview

If case you haven't heard, there's a sea-change a-comin'. This program is an in-depth discussion of the "suitability" versus "fiduciary" standard of care issue as it relates to life insurance producers, estate planners, investment managers, and other financial service professionals. Topics include how the standards differ, what is expected of producers, and the applicability of FINRA Rules of Conduct to the source of funds used to purchase financial products such as life insurance and annuities. The distinguished panel includes Dick Weber, an authority on ethics and suitability, Ben Baldwin, Jr., recipient of the prestigious Loren Dunton Award, presented by the National Association of Insurance and Financial Advisors (NAIFA), for significant contributions as an agent, author, leader, educator and financial planner, and John Olsen, expert on annuities and an outspoken advocate for suitability. All three panelists are members of the FSP Fiduciary Task Force charged with providing guidance to Society members on standards of care, suitability, and compliance with SEC regulations. Case studies on suitability and fiduciary standards are included.

Attendees will get answers to these and similar questions:

  • How will a "unified fiduciary standard" affect how I give advice?
  • How might any changes to the standard of care rule impact my relationship with my Broker-Dealer?
  • I'm a Registered Rep but generally don't sell variable products. Why should I care?
  • Will my existing policies, procedures, and disclosures protect me under the new rules?

Podcast by Dick Weber, MBA, CLU, AEP: The Controversy over Fiduciary: Raising the Bar toward Higher Standards of Care

Having trouble? Try this link.

Who should attend?

Life insurance producers, registered reps, estate planners, financial planners, investment advisors, and retirement counselors.

Educational Level

Intermediate

Moderator

Burke Christensen, JD, CLU holds the Robert B. Morgan Chair of Insurance at Eastern Kentucky University where he teaches classes in business law and ethics, risk management, and insurance. In addition to positions as general counsel for insurance companies and the Society of FSP, he is the editor of three college textbooks on the law of insurance published by The American College.

Panel of Experts

Richard M. Weber, MBA, CLU, AEP, is Secretary of the Society of FSP and a 44-year veteran of the life insurance industry. He is an authority on standard of care issues and is now a consultant to insurers and their agents on life insurance in the broader context of financial planning.
Ben Baldwin, Jr., MSFS, MSM, CLU, ChFC, CFP®, is president and owner of Baldwin Financial Systems, Inc, a registered advisory firm specializing in financial education and consulting for corporate and individual clients.
John L. Olsen, CLU, ChFC, AEP, is a financial advisor, estate planner, and principal of Olsen Financial Group. In addition to serving his own clients, John consults to other advisors on financial, estate, and retirement planning cases and offers expert witness services in annuity, insurance, and retirement planning cases.

Questions?

If you have a problem contacting your local chapter, call 800-392-6900 (M-F, 9 a.m.- 4:30 p.m. ET ) or contact us via e-mail at Info@FinancialPro.org