Efficient 401(k)/SBO-K and Profit-Sharing Plan Strategies for Your Small Business Clients

2 Credits: Taxes


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Efficient 401(k)/SBO-K and Profit-Sharing Plan Strategies for Your Small Business Clients

Course Level
CPE Credits

2 Credits: Taxes

Course Description

For small business owners and the millions they employ, saving for retirement presents a unique set of challenges. Without corporate structures to provide retirement plans, these entrepreneurs and their workers often struggle to build sufficient retirement savings. This online CPE webinar course offers a solution by exploring retirement plan options for small businesses, focusing on 401(k) plans, including Small Business Owner (SBO)-Ks and profit-sharing plans. We address the complexity of choosing the right plan, weighing key features and benefits to determine suitability. The online CPE course also navigates the intricacies of plan establishment and maintenance, compliance, and employee coverage. This is an invaluable resource for advisors assisting small businesses, offering a dual benefit: ensuring small business owners are well-prepared for a financially secure retirement while also providing advisors with opportunities for business growth.

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Learning Objectives

Upon completing this course, participants will be able to:

  • Perform checks and balances that help small business owners maintain compliance for their retirement plans;
  • Identify key features and benefits of profit-sharing plans and 401(k)s for self-employed business owners;
  • Determine which employees must be covered under qualified plans;
  • Determine the steps that businesses should take to establish qualified plans; and
  • Help a small business choose the retirement plan that suits their profile.
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Course Specifics

Course ID
Revision Date
October 24, 2022


Advanced Preparation


Compliance Information

NASBA Provider Number: 103220
IRS Provider Number: 0MYXB
IRS Course Number: 0MYXB-T-02134-22-O
IRS Federal Tax Law Credits: 2
CTEC Provider Number: 2071
CTEC Course Number: 2071-CE-1823
CTEC Federal Tax Law Credits: 2

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, …