Join our mailing list to get notified about upcoming webinars covering industry trends, fiduciary responsibility and cutting-edge technology that will keep you ahead. Many of the webinars also offer continuing education credit for Fi360, IWI, and CFP Board designations when you attend live.

Explore a few past webinars below to see what you can expect.

Benefits of QDIA Re-Enrollment

July 25, 2023

This session focused on how re-enrollment may be used to improve participant investing and provide fiduciary protections. The speakers discussed how managed accounts, which offer customization at the participant level, can serve as a personalized Qualified Default Investment Alternative (QDIA) option.

Following this webinar, participants were able to understand:  

  • How re-enrollment may be used to improve participant investing and provide fiduciary protections.
  • Considerations when selecting a Qualified Default Investment Alternative (QDIA).
  • How managed accounts can serve as a personalized QDIA option.


Todd Lacey
Chief Revenue Officer

Secure Act 2.0: Financial Planning Considerations for Advisors

July 13, 2023

As millions of employees will soon begin to participate in 401(k) plans for the first time and millions of those already in 401(k) plans are impacted by new regulations, there is an excellent opportunity to engage and/or revisit wealth focused financial planning conversations with clients.  

This webinar covers provisions in SECURE 2.0 including changes to required minimum distributions, 529 plans, and charitable giving, plus the “Rothification” of retirement plans – and how the financial advisor can leverage these changes into an enhanced strategy for engaging their individual clients. Afraid you don’t know all of the provisions of SECURE 2.0 and unsure about venturing into new territory?  This webinar also explores opportunities to identify and leverage partners with expertise in these areas to support your practice.

By the end of the session, attendees…

  • Understoond the intersection between provisions in the SECURE 2.0 Act and financial planning considerations
  • Identified opportunities for advisors to leverage new SECURE 2.0 provisions to provide value to wealth clients
  • Evaluated practical guidance for how to engage and communicate with individual investor clients
  • Leveraged partners to maximize value for your clients and prospects surrounding SECURE 2.0 Act – and beyond


Bonnie Treichel
Chief Solutions Officer
Endeavor Retirement

Alicia Rich
Head of Client and Advisor Digital Enablement
Broadridge Financial Solutions

Michael Kleeman
Sr. Director of Strategy
Broadridge Financial Solutions


Update on PTE 20-02 after DOL Drops Appeal + Tips & Traps for Retrospective Review

June 01, 2023

This webinar begins by describing the changes to the PTE as a result of DOL’s dismissal of its appeal in a U.S. District Court, and discusses the anticipated proposal of a new fiduciary definition under ERISA.

Preparing and certifying an annual Retrospective Review is required to comply with DOL PTE 20-02. Although it is similar to other compliance testing, there are traps that are unique to DOL rules. In this session, the presenters also discuss some tips to streamline Retrospective Review process that will help firms save time and manage risk.

Learning Objectives:

  • Understand the implications of the DOL’s decision to drop its appeal
  • Understand considerations for managing risk during the period before the new fiduciary rule proposal
  • Identify key elements of a Retrospective Review, required to be completed as a condition of DOL PTE 20-02
  • Develop a plan for sampling files and testing for compliance
  • Streamline testing leveraging their firm’s policies & tools, as applicable
  • Organize testing into a report for Senior Executive Officer certification


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