FAQ
Firm Element CE
FAQs














Have I satisfied my firm element CE, ACM and AML requirements for 2008?
What is my firm element CE requirement?
Have I received credit for the outside training I submitted earlier this year via the Continuing Education Request
form?
Why am I still seeing insurance courses I completed in 2007 on www.zieglerce.com?
I took a regulatory CE course (S101, S201, etc.) this year to maintain my securities registration(s); can I apply that to
my required firm element CE?
Can my insurance CE, ACM or AML training apply toward my overall firm element CE requirement?
What courses, conferences or outside training is currently contributing to my firm element CE credit hours?
Which conferences or outside training am I able to receive firm element CE credit for?
What do the acronyms CE, ACM and AML stand for?
Are courses available on this website, www.zieglerce.com, also eligible to earn CFP continuing education credit?
What is ACM, and how can I satisfy my ACM requirement?
Is due diligence training, such as Lockwood University, Behringer Harvard and Dividend Capital eligible for firm
element CE credit?
Do I have to take deferred variable annuity training and will I also be awarded firm element CE credit for this
training?
Will any Firm Element CE credits earned in excess for the current year’s requirement roll over and be applied to the
following year’s requirement?
Q.
A.
Have I satisfied my firm element CE, ACM and AML requirements for 2008?
To determine if your 2008 firm element CE requirements are considered satisfied, log into www.zieglerce.com
and sum up the credit hours assigned to each of your completed courses from 02/01/2008—01/31/2009. If you
are a Registered Representative, you will receive quarterly updates via email from the Compliance Team with
your current standing.
Q.
A.
What is my firm element CE requirement?




Q.
A.
Wealth Management (Retail) personnel—12 credit hours, AML training and an ACM. Also deferred variable
annuity training if you sell or supervise deferred variable annuities.
Capital Markets (Institutional) personnel—6 credit hours, AML training and an ACM
Capital Management (Asset Management) personnel—6 credit hours, AML training and an ACM
Administration personnel—6 credit hours, AML training and an ACM
Have I received credit for the outside training I submitted earlier this year via the Continuing Education
Request form?
All Continuing Education Request forms received to date have been processed; all awarded credit hours have
been applied to the appropriate CE profiles. Log into www.zieglerce.com to see what outside training you have
been awarded credit hours for. If you don’t see an outside training course which you’ve previously submitted,
you’ll need to resubmit the Continuing Education Request Form with the accompanying documentation.
Q.
A.
Why am I seeing insurance CE courses I completed in 2007 on www.zieglerce.com?
Q.
I took a regulatory CE course (S101, S201, etc.) this year to maintain my securities registration(s); can I apply
that to my firm element requirement?
A.
No, firm element CE and regulatory CE are two separate requirements mandated by FINRA. FINRA does not
allow regulatory CE to carry over to firm element CE.
Q.
A.
Can my insurance CE, ACM or AML training be applied toward my overall firm element CE requirement?
Yes, awarded insurance CE, ACM and AML training are applied toward your firm element CE credit hours.
Insurance courses for 2007 are still listed on your record because you cannot repeat the same course within the
same compliance period (or possibly longer, some states have a three year wait). You can verify state
requirements by clicking CE Requirements button on the front page of www.zieglerce.com.
Q.
A.
What courses, conferences or outside training is currently contributing to my firm element CE credit hours?
Log into www.zieglerce.com for these details.
Q.
A.
What do the acronyms CE, ACM and AML stand for?
CE = Continuing Education, ACM = Annual Compliance Meeting and AML = Anti-Money Laundering
Q.
A.
Are courses available on this website, www.zieglerce.com, also eligible to earn CFP CE credit?
Yes, CFP approved CE courses are listed immediately below. If you have completed one of the below listed
courses, send an email to the “Compliance Email” inbox stating which course you have taken and that you
would like CFP credit.



























A Professional's Guide to Ethical Decision Making (CFP)(2 Credits-non ethics)
Annuities Essentials (CFP)(10 CE Credits)
Anti-Money Laundering Regulations and Ramifications (CFP) (2.5 CE Credits)
Code of Ethics & Professional Responsibility (2 CFP Ethics Credits)
Disability Income Insurance (CFP)(6 CE Credits)
Effects of Market Uncertainty on Retirement Planning (CFP)(4 CE Credits)
Equity Indexed Annuities (CFP)(4 CE Credits)
Fixed & Variable Annuities vs Mutual Funds (CFP)(4 CE Credits)
Health Insurance Financial Planning: Intro to Indv. Policies and HSAs (CFP)(5 CE Credits)
HRAs, Defined Contribution and Other New Options for Group Employer Health Plans (CFP) (7 credits)
Income Planning for Heirs: Annuity Contract Structure (CFP) (5 Credits)
Income Planning for Retirement (CFP)(4 CE Credits)
Individual Health Insurance Policies for Individuals and Families (CFP) (13 CE Credits)
Introduction to Employer Defined Contribution Health Benefits (HRAs) (CFP) (3 CE Credits)
Introduction to Gift and Estate Taxation (CFP)(3 CE Credits)
Introduction to Suitability and the Senior Protection Model Regulation (CFP)(1 CE Credit)
IRA Goldbook (CFP)(10 CE Credits)
Long Term Care Insurance (CFP)(6 CE Credits)
Principles of Asset Allocation (CFP)(4 CE Credits)
Retirement Planning (CFP)(3 CE Credits)
Section 529 Plans (CFP)(3 CE Credits)
Suitability of Variable Annuities (CFP)(4 CE Credits)
Suitability of Variable Life Insurance (CFP)(4 CE Credits)
Suitability of Variable Products (CFP)(6 CE Credits)
The Truth About Variable Annuities (CFP)(3 CE Credits)
Understanding Annuities (CFP)(6 CE Credits)
Variable Universal Life II (CFP)(4 CE Credits)
Q.
A.
What is ACM, and how can I satisfy my ACM requirement?
ACM is an acronym for Annual Compliance Meeting. Registered representatives and Compliance staff are
required to meet annually so registered reps have the opportunity for direct Q&A with a member of their
compliance staff. A member of Ziegler’s Compliance Team will reach out to individuals/teams that still need to
satisfy this requirement for the current CE cycle.
Q.
Is due diligence training, such as Lockwood University, Behringer Harvard and Dividend Capital eligible for firm
element CE credit?
A.
No, due to the product or service specific content of such events, it is Ziegler’s Compliance Department policy
to not award CE credit for due diligence training.
Q.
Do I have to take deferred variable annuity training and will I also be awarded firm element CE credit for this
training?
A.
As of May 5, 2008 each financial advisor who sells and each principal who reviews transactions in deferred
variable annuities must satisfy a deferred variable annuity training requirement. You will find two courses on
this website that will assist you in satisfying the requirement. Both courses will also earn firm element CE
credit as well.
1. Introduction to FINRA Rule 2821 for Registered Representatives (3 Credits) ZieglerFE12366
2. FINRA Rule 2821 Supervisory Training (3 Credits) ZieglerFE12355
All FAs who are insurance licensed are required to complete the Introduction to FINRA Rule 2821 for Registered
Representatives. All branch managers and regional supervisors who oversee the activities of insurance licensed
FAs will need to complete the Rule 2821 Supervisory Training.
Q.
A.
Which conferences or outside training am I able to receive firm element CE credit for?
Please submit to Compliance the Continuing Education Request form found on the front page of
www.zieglerce.com, in the additional information area. Make sure all appropriate signatures are on the form
and, include supporting documentation when you are submitting items for CE approval. Compliance will review
the documentation and update your profile with awarded CE credits. To see whether or not your submission
was awarded firm element CE credit, log into www.zieglerce.com and review your profile.
Q.
Will any Firm Element CE credits earned in excess for the current year’s requirement roll over and be applied
to the following year’s requirement?
No. Only courses that are time stamped with a completed date that falls within a given year’s Firm Element CE
cycle will be applied toward a that year’s requirement.
A.