2024 Compliance Webinars
- 11-7-2024 4th Quarter Mandatory Webinar
Webinar Slides - 8-8-2024 3rd Quarter Mandatory Webinar
Webinar Slides - 5-9-2024 2nd Quarter Mandatory Webinar
Webinar Slides - 2-8-2024 1st Quarter Mandatory Webinar
Webinar Slides
2023 Compliance Webinars
- 11-9-2023 4th Quarter Mandatory Webinar
Webinar Slides - 8-10-2023 3rd Quarter Mandatory Webinar
Webinar Slides - 5-11-2023 2nd Quarter Mandatory Webinar
Webinar Slides - 2-9-2023 1st Quarter Mandatory Webinar
Webinar Slides
2022 Compliance Webinars
- 11-10-2022 4th Quarter Mandatory Webinar
Webinar Slides - 8-11-2022 3rd Quarter Mandatory Webinar
Webinar Slides - 5-12-2022 2nd Quarter Mandatory Webinar (InvestorCOM demo)
Webinar Slides - 2-10-2022 1st Quarter Mandatory Webinar
Webinar Slides
2021 Compliance Webinars
- 11-11-2021 4th Quarter Mandatory Webinar (End of the Year Wrap Up!)
Webinar Slides - 8-12-2021 3rd Quarter Mandatory Webinar (Staying the course through summer & beyond)
Webinar Slides - 5-13-2021 2nd Quarter Mandatory Webinar (Mid-Year Check-in & Industry Updates)
Webinar Slides - 2-18-2021 1st Quarter Mandatory Webinar (Goodby 2020, Hello 2021!)
Webinar Slides
2020 Compliance Webinars
- 11-12-2020 4th Quarter Mandatory Webinar (End of the year wrap up)
- 8-13-2020 3rd Quarter Mandatory Webinar (Industry News & Training)
- 6-25-2020 2nd Quarter Mandatory Webinar (Regulation Best Interest)
- 2-13-2020 1st Quarter Mandatory Webinar (Start the new year on the right foot!)
2019 National Conference - Videos
- Welcome & President's message
- Peter Dochinez, State of the Industry
- Brad Kasper (LSA Portfolio Analytics), Managed Porftolios
- Mike Ingenito (Retirement Plan Advisory Services), Regulation BI
- Jim Renitsky (Blackrock), Building Your Business for the Future
- Compliance & Operations Part 1
- Compliance & Operations Part 2
2019 Compliance Webinars
- 11-14-2019 November Webinar: Inverse & Leveraged ETF's (Firm Element Training)
- 10-10-2019 October Webinar: Conference Follow Up & Industry News
- 8-8-2019 3rd Quarter Mandatory Webinar
- 5-9-2019 2nd Quarter Mandatory Webinar
- 2-14-2019 1st Quarter Mandatory Webinar
2018 Compliance Webinars
- 2-8-2018 1st Quarter Mandatory Webinar
- 4-5-2018 Rep Intro and Refresher
- 4-19-2018 Cybersecurity
- 5-17-2018 2nd Quarter Mandatory Webinar (Trustmont New Account Form)
- 6-28-2018 Investment Advisory Analysis
- 8-16-2018 3rd Quarter Mandatory Webinar
National Conference 2018 - Video and Slides
- Welcome (Video #1)
- Peter Dochinez - State of the Industry (Video #2)
- Linda Duessel - Federated (Video #3)
Economic & Market Outlook: It All Depends on Your Time Horizon - Anthony Hladek & Aimee Toth (Video #4)
Operations & Compliance - CS McKee (Video #5)
Rethinking the Role of Fixed Income - Fran Carson & Kyle Beveridge (Video #6)
Brokerage vs Advisory - Mark Peterson - BlackRock (Video #7)
Behavioral Finance in Today's Market - Larry Helmick & Greg Teal (Video #8)
Tax Information for Non-Tax Advisors - Doing Your Job Well - Alissa Conklin (Video #9)
Proven Marketing Ideas - Mark Tiefel - Capital Equity Group, Inc. (Video #10)
The Game Changer in Real Estate Investing - What's on Your Mind (Video #11)
National Conference 2017
- Welcome
- I Didn't Know That, Part One
- I Didn't Know That, Part Two
- Everything You Wanted to Know About the Law
- Operations
- State of the Industry
- Driving a Competitive Advantage
- Building Better Portfolios for a Fiduciary World
- It Depends, Know Your Limitations
- M & M Marketing to Millenials
- What's On Your Mind?
National Conference 2016
- Welcome
- Kenn Tacchino Part 1
- Kenn Tacchino Part 2
- Compliance Part 1
- Compliance Part 2
- Tackling Ind. Challenges; Kyle Beveridge
- Mike Ingenito DOL Part 1
- Mike Ingenito DOL Part 2
- Challenges and Opportunities
Miscellaneous Webinars
