MYCPE ONE

Retirement Planning Strategies and Regulatory Considerations 3 Credits 3 Credits

Jul 01, 2026, 02:00 PM EDT

Retirement Planning Strategies and Regulatory Considerations 3 Credits 3 Credits

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Jul 01, 2026, 02:00 PM EDT

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Learning Objectives

  • Compare the features, contribution limits, and tax treatment of major retirement account types used by advisory clients.
  • Explain required minimum distribution rules and planning implications for clients in or near retirement.
  • Evaluate the factors  when recommending an IRA rollover from an employer-sponsored plan.
  • Describe the fiduciary obligations that apply to advisers providing retirement plan advice under ERISA.
  • Apply retirement income distribution strategies - including systematic withdrawal, annuitization, and bucket approaches - to client scenarios.
  • Summarize recent regulatory developments affecting retirement advice, including applicable DOL and SEC guidance.

Course Overview

Retirement planning remains one of the most important and high-risk advisory services provided by Professionals. From rollover recommendations and retirement income design to beneficiary planning and fiduciary obligations, advisers must balance client goals, regulatory expectations, and long-term financial outcomes when developing retirement strategies.

In this comprehensive course, Attendees will explore retirement account structures, rollover analysis, ERISA considerations, distribution planning, and retirement income strategies for advisory professionals. Attendees will review practical approaches involving IRAs, 401(k)s, 403(b)s, defined benefit plans, RMD planning, beneficiary coordination, and documentation standards used in retirement engagements. 

Major Topics

  • Retirement account structures
  • IRA and 401(k) planning
  • Rollover analysis
  • ERISA fiduciary responsibilities
  • Required minimum distributions (RMDs)
  • Retirement income strategies
  • Beneficiary planning
  • Retirement distribution planning
  • Retirement documentation standards
  • Regulatory considerations for Professionals.
  • Retirement planning case studies
  • Client communication strategies

This course delivers practical retirement-planning insights that can be immediately applied in client engagements. Attendees will gain a deeper understanding of retirement strategy design, fiduciary best practices, and documentation techniques that support stronger client outcomes and regulatory defensibility.

For more Retirement Planning-related Course, Click Here.



On Demand Credits for All Qualifications

Live Webinar Credits for All Qualifications

License details Credits Status
Finance for Certified Public Accountants (CPA-US) 3 CPE Approved
Personal Financial Planning for Personal Financial Specialist (PFS) 3 CPD Eligible
Finance for Chartered Financial Analyst (CFA) 3 PL Eligible
Finance for Chartered Financial Consultant (ChFC) 3 CE Eligible
Finance for Delaware Licensed Public Accountant (DE-LPA) 3 CPE Approved
Trust and Estate Practitioners (TEP) 3 CPD Eligible
Financial Planning for Certified Wealth Strategist (CWS) 3 CE Eligible
LTC 3 CE Approved
Finance for Retirement Income Certified Professional (RICP) 3 CE Eligible
Financial Planning for Certified Fiduciary and Investment Risk Specialist (CFIRS) 3 CE Eligible
Financial Planning for Chartered Life Underwriter (CLU) 3 CE Eligible
Financial Planning for Certified Plan Fiduciary Advisor (CPFA)/Qualified Plan Financial Consultant (QPFC) 3 CE Eligible
Finance for Financial Services Certified Professional (FSCP) 3 CE Eligible
Finance for Wealth Management Certified Professional (WMCP) 3 CE Eligible
Qualified 401(k) Administrator (QKA) 3 CE Eligible
Finance for Iowa Licensed Public Accountant (IA-LPA) 3 CPE Approved
Finance for Chartered Advisor in Senior Living (CASL) 3 CE Eligible
Qualified Pension Administrator(QPA) 3 CE Eligible
Associated Professional Member(APM) 3 CE Eligible
Finance for CIPM 3 PL Eligible
Finance for Maine Licensed Public Accountant (ME-LPA) 3 CPE Approved
Qualified 401(k) Consultant(QKC) 3 CE Eligible
Tax-Exempt and Governmental Plan Consultant (TGPC) 3 CE Eligible
401(k) Rollover Specialist ((k)RS) 3 CE Eligible
Finance for Chartered Special Needs Consultant (ChSNC) 3 CE Eligible
Certified Pension Consultant (CPC) 3 CE Eligible
Certified Plan Sponsor Professional (CPSP) 3 CE Eligible
License details Credits Status
Finance for Certified Public Accountants (CPA-US) 3 CPE Approved
Personal Financial Planning for Personal Financial Specialist (PFS) 3 CPD Eligible
Finance for Chartered Financial Analyst (CFA) 3 PL Eligible
Finance for Chartered Financial Consultant (ChFC) 3 CE Eligible
Finance for Delaware Licensed Public Accountant (DE-LPA) 3 CPE Approved
Trust and Estate Practitioners (TEP) 3 CPD Eligible
Financial Planning for Certified Wealth Strategist (CWS) 3 CE Eligible
LTC 3 CE Approved
Finance for Retirement Income Certified Professional (RICP) 3 CE Eligible
Financial Planning for Certified Fiduciary and Investment Risk Specialist (CFIRS) 3 CE Eligible
Financial Planning for Chartered Life Underwriter (CLU) 3 CE Eligible
Financial Planning for Certified Plan Fiduciary Advisor (CPFA)/Qualified Plan Financial Consultant (QPFC) 3 CE Eligible
Finance for Financial Services Certified Professional (FSCP) 3 CE Eligible
Finance for Wealth Management Certified Professional (WMCP) 3 CE Eligible
Qualified 401(k) Administrator (QKA) 3 CE Eligible
Finance for Iowa Licensed Public Accountant (IA-LPA) 3 CPE Approved
Finance for Chartered Advisor in Senior Living (CASL) 3 CE Eligible
Qualified Pension Administrator(QPA) 3 CE Eligible
Associated Professional Member(APM) 3 CE Eligible
Finance for CIPM 3 PL Eligible
Finance for Maine Licensed Public Accountant (ME-LPA) 3 CPE Approved
Qualified 401(k) Consultant(QKC) 3 CE Eligible
Tax-Exempt and Governmental Plan Consultant (TGPC) 3 CE Eligible
401(k) Rollover Specialist ((k)RS) 3 CE Eligible
Finance for Chartered Special Needs Consultant (ChSNC) 3 CE Eligible
Certified Pension Consultant (CPC) 3 CE Eligible
Certified Plan Sponsor Professional (CPSP) 3 CE Eligible

Additional Information

Credits

3

Course Level

Intermediate

Instructional Method

QAS Self Study

Group Internet Based

NASBA APPROVED

MY-CPE LLC, 1600 Highway 6 south, suite 250, sugar land, TX, 77478

MY-CPE LLC 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.nasbaregistry.org.

IRS APPROVED

MY-CPE LLC, 1600 Highway 6 south, suite 250, sugar land, TX, 77478

MY-CPE LLC (Sponsor Id#: GEHNZ) has entered into an agreement with the Internal Revenue Service, to meet the requirements of 31 Code of Federal Regulations, section 10.6(g), covering maintenance of attendance records, retention of program outlines, qualifications of instructors, and length of class hours. This agreement does not constitute an endorsement by the IRS as to the quality of the program or its contribution to the professional competence of the enrolled individual. Credit earned by attendees with a PTIN will be reported directly to the IRS as required of all providers. To ensure your CPE hours are reported, update your profile in My Account to include your PTIN number. Please note: IRS CE is only mandatory for EAs and ERPAs. For all other tax return preparers, CE is voluntary.

About Instructor

Craig Israelsen

Craig Israelsen

Developer, 7Twelve® Portfolio

Dr. Craig Israelsen holds a Ph.D. in Family Resource Management from Brigham Young University, plus B.S. and M.S. degrees in Agribusiness and Agricultural Economics from Utah State University. With decades in academia—teaching 9 years at BYU, 14 at University of Missouri-Columbia—he now serves as Executive-in-Residence at Utah Valley University's Finance & Economics Department while advising Utah investment committees.


Renowned for mutual fund analysis and portfolio design research published in top journals like Journal of Financial Planning and Journal of Asset Management, his work appears in Financial Planning Magazine (20+ years), Horsesmouth.com, Better Investing, and AAII Journal. Cited in Wall Street Journal, Forbes, and Newsweek, he created the 7Twelve Portfolio (www.7TwelvePortfolio.com) and authored 7Twelve: A Diversified Investment Portfolio with a Plan (2010). A family man with hobbies like hiking and woodworking, he ran the Boston Marathon five times.

On Demand FAQs

What is Self Study (QAS)?

Self Study QAS (Quality Assurance Service) is a NASBA and other regulatory bodies approved program designed for Professionals to complete their Continuing Professional Education credits through self-paced, interactive courses that meet the highest standards of quality and compliance. Our courses qualify for credits with NASBA, IRS, CFP Board, HRCI, SHRM, Payroll Org, FP Canada, and 25+ other professional organizations.

How do I earn CPE credits through self-study?

To earn CPE credits, you must complete the self-study course, pass the required assessments, and submit the necessary documentation. Credits are awarded based on the completion of course hours and successfully passing the assessments.

Are the self-study courses accepted by NASBA and other professional organizations?

MY-CPE LLC courses are accepted for continuing education credit by various professional certification programs, including NASBA, IRS, CFP Board, and HRCI. MY-CPE LLC is also recognized by SHRM to offer Professional Development Credits (PDCs) for SHRM-CP® and SHRM-SCP® recertification activities.

What are the requirements to maintain compliance with self-study courses?

To maintain compliance, you must follow the guidelines set by NASBA and other regulatory bodies, which include completing the course within the specified timeframe, passing the assessments, and keeping accurate records of your learning activities.

How can I access my course completion certificates?

After successfully completing a self-study course and passing the assessments, you can access and download your course completion certificates from your account dashboard on our platform. These certificates are recognized by NASBA, IRS, CFP Board, HRCI, SHRM, Payroll Org, FP Canada, and 25+ other professional organizations for compliance and reporting purposes.

How are credits reported to governing bodies?

We issue instant credit certificates, ensuring they are valid for presentation to governing bodies. Typically, we report IRS, CTEC, CFP, IDFP, IWI, VBOA Ethics credits within 7 days – the fastest in the industry.

Live Webinar FAQs

What is a Live Webinar Group Internet-Based Credit?

A Live Webinar Group Internet-Based Credit is an interactive, real-time online seminar where professionals can earn Continuing Education credits by participating in live sessions led by experts in various fields. Our courses qualify for credits with NASBA, IRS, CFP Board, HRCI, SHRM, Payroll Org, FP Canada, and 25+ other professional organizations.

How do I earn credits through live webinars?

To earn credits, you must attend the entire live webinar, actively participate in any polls or questions, and complete any required evaluations or assessments. Credits are awarded based on your attendance and participation in the live session.

Are the live webinars accepted by NASBA and other Professional Organizations?

MY-CPE LLC courses are accepted for continuing education credit by various professional certification programs, including NASBA, IRS, CFP Board, and HRCI. MY-CPE LLC is also recognized by SHRM to offer Professional Development Credits (PDCs) for SHRM-CP® and SHRM-SCP® recertification activities.

What are the requirements to maintain compliance with live webinar courses?

To maintain compliance, you must adhere to the guidelines set by NASBA and other regulatory bodies, which include attending the full duration of the webinar, participating in interactive elements, and completing any post-webinar evaluations or assessments.

How can I access my webinar completion certificates?

After successfully attending a live webinar and fulfilling all participation requirements, you can access and download your completion certificates from your account dashboard on our platform. These certificates are accepted for compliance and reporting purposes with NASBA, IRS, CFP Board, HRCI, SHRM (for PDCs), Payroll Org, FP Canada, and 25+ other professional organizations.

How are credits reported to governing bodies?

We issue instant credit certificates, ensuring they are valid for presentation to governing bodies. Typically, we report IRS, CTEC, CFP, IDFP, IWI, VBOA Ethics credits within 7 days – the fastest in the industry.

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Retirement Planning Strategies and Regulatory Considerations

Inclusions

  • Multiple Credits

    Multiple Credits

    Earn continuing education credits with flexibility. Choose from live webinars, on-demand courses, e-books, or podcasts to fit your learning style and schedule.

  • Certifications & Reporting

    Certifications & Reporting

    We issue instant credit certificates, ensuring they are valid for presentation to governing bodies. Typically, we report IRS, CTEC, CFP, IDFP, IWI, VBOA Ethics credits within 7 days - fastest in the industry.

  • Credit Tracker

    Credit Tracker

    Track and manage your compliance across all 50 states and over 100 designations. Our Credit Tracker keeps your CPE credits and compliance requirements always up-to-date.

  • Certificate Vault

    Certificate Vault

    Certificate Vault to upload, manage, and access certificates earned from various sources and an integrated credit tracker, allowing users to monitor and manage their credits conveniently for compliance.

  • Compliance Reminders

    Compliance Reminders

    Stay current with our automated reminder system. Receive timely alerts for your CPE requirements, ensuring you never miss a deadline.

  • Mobile App Access

    Mobile App Access

    The MYCPE ONE Mobile App allows you to learn on the go, providing access to educational content on Android and Apple iOS devices. You can learn anytime and anywhere, making it convenient for busy schedules.

  • Live Support

    Live Support

    Our support team is available via live chat, email, and phone from 9 AM to 5 PM ET. We're here to help with any questions or issues, ensuring you have a seamless experience.

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