Critical Rules for Moving Retirement Accounts – Part 1

1 Credits: Taxes


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Critical Rules for Moving Retirement Accounts – Part 1

Course Level
CPE Credits

1 Credits: Taxes

Course Description

This course offers a comprehensive guide on the proper management of asset movements in retirement accounts, a critical skill for financial advisors. Led by IRA expert Denise Appleby, the course provides in-depth knowledge on rollovers and transfers within owner and inherited accounts. Attendees will gain the ability to discern the most effective methods for moving IRAs and employer plan assets, ensuring the preservation of their tax-deferred status. The course teaches how to identify compatible account types for asset movement and the best practices for avoiding unintended distributions, particularly in complex scenarios involving inherited accounts. An added benefit is the provision of Appleby’s Quick Reference Guide, a concise chart sheet that simplifies the understanding of transfer and rollover rules. This course is an essential resource for advisors aiming to deliver top-notch advice on retirement planning and asset protection, helping clients avoid common pitfalls and make informed decisions.

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Learning Objectives

Upon completion of this course, participants should be able to:

  • Choose the right method when moving IRAs and employer plan assets;
  • Identify the type of accounts between which assets can be moved;
  • Determine how to avoid unintended distributions with owner and inherited accounts;
  • Help spouse beneficiaries choose the ‘right’ options for moving inherited IRAs; and
  • Determine how to fix mistakes, where possible.
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Course Specifics

Course ID
Revision Date
October 13, 2022


Advanced Preparation


Compliance Information

NASBA Provider Number: 103220
IRS Provider Number: 0MYXB
IRS Course Number: 0MYXB-T-02126-22-O
IRS Federal Tax Law Credits: 1
CTEC Provider Number: 2071
CTEC Course Number: 2071-CE-1817
CTEC Federal Tax Law Credits: 1

CFP Notice: Not all courses that qualify for CFP® credit are registered by Western CPE. If a course does not have a CFP registration number in the compliance section, the continuing education will need to be individually reported with the CFP Board. For more information on the reporting process, required documentation, processing fee, etc., contact the CFP Board. CFP Professionals must take each course in it’s entirety, the CFP Board DOES NOT accept partial credits for courses.

CTEC Notice: California Tax Education Council DOES NOT allow partial credit, course must be taken in entirety. Western CPE has been approved by the California Tax Education Council to offer continuing education courses that count as credit towards the annual “continuing education” requirement imposed by the State of California for CTEC Registered Tax Preparers. A listing of additional requirements to register as a tax preparer may be obtained by contacting CTEC at P.O. Box 2890, Sacramento, CA, 95812-2890, by phone toll-free at (877) 850-2832, or on the Internet at

Meet The Experts

Denise Appleby is CEO of Appleby Retirement Consulting Inc., a firm that provides IRA technical consultation, training and resources for financial, tax and legal professionals. Her primary focus is protecting retirement savings from costly mistakes. She has over 20 years of experience in the retirement plans field. Denise writes and publishes booklets and marketing tools for advisors. She has provided training to thousands of advisors about the rules and regulations, as well as compliance and operational requirements that apply to IRAs and retirement plans for small businesses. Denise co-authors books that include The Roth IRA Answer Book, The SEP, SIMPLE, …