Certificate & Specialized Programs

Corporate Executive Program

Corporate Executives often have unique investment needs that are derived from holding an equity interest in the company that they helped start or by whom they are employed. These holdings are governed by complex rules. Consequently, optimizing the benefit of such holdings and properly managing the risk associated with what often represents sizeable concentrations in the portfolios of corporate executives requires a level of expertise that few financial professionals possess.

This online financial education program is designed to provide financial professionals with the technical knowledge and application skills needed to assist Corporate Executive clients. Integrated with a case study approach to learning application skills, this program qualifies for numerous hours of continuing education credit and provides professionals with the knowledge and strategies needed to address each of the following objectives:

  • Generating Liquidity
  • Managing Executive Stock Options
  • Managing Restricted & Control Stocks

This program consists of seven modules:

  • Nonqualified Executive Retirement Benefits
  • Strategies for Executive Stock Options
  • Demystifying Rule 144:  Resale of Restricted and Control Securities
  • Strategies for Managing Concentrated Wealth
  • Rule 10b5-1 Plans and Insider Trading
  • Executive Compensation Strategies
  • The Corporate Executive Conversation