Event Description

The regulatory world is complex for financial advisors. Not only are you subject to SEC and FINRA regulations, but also what the IRS does as well. Clients expect you to be on top of what is happening in the world of investing, insurance, and taxes. It is not enough to just know the code section or the final rule affecting them. Your clients want to know how changes and updates affect their financial well-being. And what if you are a Certified Financial Planner? Then we need to worry about CFP Board too! It is enough to make your head spin!

That’s where our quarterly practice and regulatory update can help. In this 4-hour update, we will focus on year-end financial and tax planning strategies for your advisory clients, review SEC regulatory priorities heading into 2027, and discuss estate planning opportunities arising from OBBBA’s enhanced exemption amounts. We’ll also cover year-end retirement planning strategies, RMD considerations for year-end client meetings, and new CFP continuing education reporting requirements. Don’t worry. We won’t just hurl code sections at you. Using practical and easy to understand examples, we will illustrate the concepts that mean the most to you – so you will be well-prepared for the many things that a client throws your way!

Objectives

• State year-end financial and tax planning strategies for advisory clients under current law.
• Identify SEC regulatory priorities and new compliance requirements heading into 2027.
• Recognize estate planning opportunities arising from OBBBA-enhanced exemption amounts.
• Recall year-end retirement account and RMD planning considerations for advisory clients.
• State new CFP continuing education reporting requirements and credentialing updates.