Education Through Collaboration

Earn CE credits toward the CFP® and other professional designations

To assist in fulfilling professional designation and Firm Element requirements, we offer over 120 courses from FINRA, the Institute for Portfolio Alternatives, AI Insight and other sources—including periodic webinars for CE credit.

For a complete listing of e-learning courses available on AI Insight register for an account to select courses for purchase or view the course catalog.

AI Insight Course: Introduction to Leveraged and Inverse ETFs

Leveraged ETFs are investment vehicles for sophisticated investors who are looking to gain short-term magnified exposure to the markets. However, it’s important to clearly understand that their unique characteristics come with inherent risk. This course covers the composition of leveraged ETFs, mechanics of how they operate, and risks associated with them. This course is eligible for 1 CE credit toward the CFP® and other designations. 

*NEW* AI Insight Course: The Basics of Defined Outcome Investing

This course was produced by AI Insight in partnership with Guggenheim InvestmentsInnovator Capital Management LLC, and Milliman Financial Risk Management LLC to help you gain a basic understanding of defined outcome investing and the use of options-based methods for creating defined outcomes. Upon completion of this course, participants will be able to (1) Define the concept of defined outcome investing, (2) Understand, through use of examples, how options-based strategies are used in the creation of defined outcome investing, (3) Understand how a defined outcome investing strategy will work in a UIT or ETF product structure, (4) Explain how a defined outcome strategy UIT or ETF might be used in a portfolio, (5) Explain the benefits and risks of defined outcome investing and a defined outcome strategy UIT and ETF. This course is eligible for 1 credit toward the CFP® and other designations.

AI Insight Course: Introduction to Internal Revenue Code §1031 Private Placements

This course provides a comprehensive understanding of §1031 Exchanges, to include what it is, the identification rules, different types and structures, a discussion of §721 Exchanges, an overview of energy §1031 Exchanges and the importance of due diligence on these private placements. This course was created in collaboration with David Sengstock Esq. of Mick Law P.C. LLO and as such are the content references for much of the material information. This course is eligible for 1 credit toward the CFP® and other designations.

Institute for Portfolio Alternatives Courses

The Institute for Portfolio Alternatives offers five alternative investment e-learning courses, plus a course on the “Customer Account Statement Rule” related to NASD Rule 2340 and FINRA 2310 amendments. These courses qualify for two CE credits toward the CFP® and other professional designations.

FINRA E-Learning Courses

The FINRA e-learning courses cover common compliance topics, including trading practices, private placements, securities products, suitability, cybersecurity, sales practices and more. FINRA e-learning courses are eligible for .5 to 2 CE credits toward the CFP® and other designations. 

*NEW* AI Insight Course: Understanding Regulation Best Interest

Professionals from Bates Compliance join us on a recorded webinar to help you gain an understanding of the SEC’s Regulation Best Interest rules. After completion of the course, an individual should have an understanding of: (i) Reg BI background, (ii) new obligations, (iii) regulator expectations, (iv) impact on product sales, (v) conflicts, compensation, disclosure and (vi) Reg BI resources. This course is eligible for 1 credit toward the CFP® and other designations.

AI Insight Course: Cybersecurity Awareness for Financial Professionals

This course summarizes key aspects of cybersecurity awareness for financial professionals. After completion of the course, an individual should have a thorough understanding of: (i) the regulatory focus on cyber security, (ii) the threat landscape, (iii) practical things you can do to protect client data and (iv) the anatomy of a phishing / identity take-over attack. This course was created in collaboration with Docupace Technologies, LLC and Beacon Strategies, LLCThis course is eligible for 1 credit toward the CFP® and other designations.

AI Insight Course: Introduction to Alternative Mutual Funds

This course summarizes the key aspects of Alternative Mutual Funds (“AMFs”) and discusses some of the key issues facing the industry. After completion of the course, an individual should have a thorough understanding of defining and applying alternatives, risks and limitations, fund fees and expenses, performance and due diligence considerations. This course is eligible for 1 credit toward the CFP® and other designations.

AI Insight Introduction to Opportunity Zones

In this course, we explore and discuss many of the applicable rules (as currently constructed), as well as the potential benefits, pitfalls and risks involved with Opportunity Fund investments. This course was created in collaboration with Kyla M. Ehrisman, JD, MBA and Alan Lincoln, MBA, CCIM of Mick Law P.C. LLO and as such are the content references for much of the material information. This course is eligible for 1 credit toward the CFP® and other designations.

AI Insight Co-Branded CE Webinars

AI Insight regularly offers webinars for CE credit on industry-relevant topics in partnership with our alternative investment managers.

*NEW* AI Insight Course: Introduction to Unit Investment Trusts (UITs)

Discover Unit Investment Trusts (UITs) – registered investment products offering a defined portfolio with a scheduled maturity. This course was produced by AI Insight in partnership with Guggenheim Investments. It provides an overview of the unique structure of a UIT and how it compares to other popular investment options (such as mutual funds and ETFs). You will receive an in-depth look at investor benefits, pricing, as well as the distinctive investor experience that comes from the lifecycle of a UIT. You will also learn how UITs offer access to a wide range of investment choices and may be utilized in both transactional and fee-based accounts to address investor goals.

AI Insight Introduction to Private Equity

In this course we explore private equity trends, strategies, structures, fees, returns, portfolio allocation, risks and due diligence considerations. This course is eligible for 2 credits toward the CFP® and other designations.

AI Insight Course: Introduction to Private Placements

This course is designed to provide a better understanding of private placements to include an introduction followed by a focus on trends, structures, registration exemptions and governance, suitability, fees, risks and due diligence considerations. This course is eligible for 1 credit toward the CFP® and other designations.

AI Insight Course: Introduction to Interval Funds

This course provides a comprehensive understanding of interval funds, including how they compare to other funds, potential advantages, performance measures, fees and expenses, financial reports and statutory and regulatory requirements. This course was created in collaboration with Kevin Vonnahme, Esq. of Mick Law P.C. LLO and as such are the content references for much of the material information. This course qualifies for one CE credit toward the CFP® and other professional designations.