Continuing Education Classes

CE 126 "Ethics for Certified Financial Planners®"

Consists of a variety of interactive online modules focusing on ethical situations dealt with by holders of CFP® certification. The course, delivered through The American College online course platform, has been approved for CE ethics credit by Certified Financial Planner Board of Standards Inc. Includes online delivery with exam. Designee revised.


FA 290 (CE 290) "Ethics for the Financial Services Professional"

This course provides a practical framework for making ethical business decisions in the financial services industry. This course examines legal, compliance, and practice standards that apply to the financial services professional. The course also investigates ethical approaches to placing financial products, determining suitability, and assessing risk. Concludes with a final exam, which also must be taken if state continuing education credits are sought. Course format is textbook self-study, with online exam (requires a proctor). (Students licensed in New York take paper exams.) Exam is required for state CE credit.


CE 100 "Issues in the Ethics of Financial Services"

This class is designed to help individuals recognize how circumstances may tempt them into making an unethical decision that may cause some type of unanticipated harm. This course examines concrete ethical situations that face financial services professionals daily, and helps them develop an ethical awareness of these issues. Students can apply the skills learned in the first section to actual ethical dilemmas that occur in business daily. This course provides tools for effective ethical decision making. Find out how to handle these situations by listening to experts discuss these issues.

Fulfills 3 hours of continuing education for state insurance ethics requirements. This class is subject to state eligibility.

Click here to see if CE 100 is approved in your state.


GS 980 "Ethics in Leadership"

This course covers four areas: ethical awareness, ethical analysis/ethical decision making, current ethical issues in the financial services industry, and ethical management in an organization. This class provides the skills required to make reasoned responses to ethical dilemmas, deal with daily and long-term ethical challenges, and build an ethical culture in an organization. The course explores the emotional influence on behavior and decisions, and it explains how to learn from success and failure. In this highly participative course, the leadership candidate is expected to complete both the reading material and written assignments before arriving on campus.


GS 831 "Ethics and Human Values"

This course approaches ethics and human values from the particular perspective of the ethical responsibilities assumed by the financial services professional. This course focuses on the specific ethical situations encountered by financial services practitioners. Discusses and evaluates these decisions in terms of their adherence to ethical principles, such as integrity, justice and fairness, and responsibility. Focuses on behavior and the implementation of core values through case studies and analysis of ethical dilemmas.