Records Retention

Standard 24

In accordance with Standard No. 24, the following documentation for each Group Live and Group Internet program shall be maintained for a period not less than 5 years: 

  • Records of participation 
  • Dates and locations of program offerings 
  • Author/instructor, author/developer and content reviewer names and credentials (including the state of licensure, CPA license number, and status of license), as well as relevant review notes pertaining to course materials. 
  • For a CPA or tax attorney acting as an author/instructor, author/developer, and/or content reviewer for accounting, auditing, or tax program(s), the state of licensure, license number, and status of license will be maintained. For an enrolled agent acting in such capacity for tax program(s), information regarding the enrolled agent number will be maintained. 
  • Number of CPE credits earned by participants 
  • Record of how CPE Credits were determined (word count, course length, and any other relevant documentation) 
  • Results of program evaluations 
  • Program descriptive materials, including course announcement information, program agenda and handouts, and speaker notes if applicable. 

Refund Policy

Standard 12

For group live events, cancellations and requests for refunds must be communicated in writing to Petersprofessionaleducation.com 15 or more business days in advance of the event to not incur speaking fees. 

 

For group internet-based webinars offered via Peters Professional Education, LLC, all sales are final. Refunds will not be issued if attendees fail to attend or do not complete the required actions to earn CPE credits. Attendees who do not attend or do not complete the required actions to earn CPE will receive a link to the video of the event after the completion of the course, however, the recorded course will not qualify for CPE credits.


For QAS Self Study courses, all sales are final. Participants will have until the earlier of: i) the course expiration date or ii) one (1) year from the purchase date to complete the course for credit. After the earlier of these timeframes, the participant will be unenrolled from the course and progress will be reset. Participants are free to purchase the course again, if the course is still being offered for purchase.


In the rare instance that a QAS Self Study course is cancelled, discontinued, or removed from the website before the earlier of: i) the posted expiration date or ii) one year has elapsed from the participant’s course purchase date and the participant has not completed the course, the participant will receive a full refund. Refund requests should be sent to david@davidpetersfinancial.com.

Program Cancellation

Standard 12

Peters Professional Education will make every attempt to not cancel an event.  In the case an event is cancelled due to a situation that is unavoidable, registered attendees will be contacted via email immediately.  Credit towards a future event will be provided.  If scheduled participants are unable to attend a future event, a full refund will be issued.  

Complaint Resolution

Standard 12

Peters Professional Education, LLC is committed to providing high-quality events and ensuring the satisfaction of all attendees.  PPE will make every effort to resolve complaints in a professional and timely manner. If you have a complaint, please send it in writing to Petersprofessionaleducation@gmail.com within ten (10) days of the event. Every attempt possible will be made to work with the submitter to come to a reasonable solution to the issue(s) at hand.

Course Update Policy

Standard 4

Course documentation contains the most recent publication, revision or review date. Courses are revised as soon as feasible following changes to relative codes, laws, rulings, decisions, interpretations, etc. Peters Professional Education courses that include content that undergoes frequent changes are reviewed by a subject matter expert at least once a year. Other courses are reviewed every 2 years. For group live and group Internet based programs, the revision date is the date of the event.

Attendance Monitoring Procedures

Standard 16

For group live events, instructors will inform class participants that attendance will be monitored per NASBA requirements to ensure the correct number of CPE credits are assigned to each participant. The instructor will require participants to sign in and record the time at the start of the program and directly following lunch break.  

The instructor or other designated support person will also oversee the maintenance of an “exception log” noting when an individual misses more than 10 minutes of the seminar. The individual’s name and the amount of time missed will be noted in the exception log.  In instances where class size is large, the instructor will solicit the assistance of an event coordinator to accurately monitor attendance. Peters Professional Education will maintain electronic copies of sign-in sheets and exception logs for a period not less than five years. 

For group internet-based webinars, attendance and participation will be monitored electronically via the webinar platform’s built in reporting tools. The name and email address of each training participant, as well as the time they entered the meeting and the time they left it, will be documented. Additionally, the electronic monitoring mechanism will employ at least three instances of interactivity (i.e. poll questions) completed by the participant per CPE credit. These mechanisms will be of sufficient frequency and lack predictability. The participants’ responses to such interactive elements will be recorded electronically by the webinar platform. All records will be maintained for a period not less than five years. 

 

Program Content Development

Peters Professional Education, LLC (PPE), has adopted Program Content Development policies based on the guidelines set forth in the Standards for Professional Education (CPE) established by the National Association of State Boards of Accountancy (NASBA).  Any updates to NASBA Standards will be reflected in modification to PPE Administrative Policies.  The Administrative Policies of PPE are accessible by accessing the website at https://www.petersprofessionaleducation.com/

Program Content and Prerequisite Knowledge

Standards 2 and 3

Peters Professional Education, LLC creates programs to accommodate participant groups seeking from a basic to advanced learning experience.  

 

Program knowledge levels consist of: basic, intermediate, advanced, overview and update. All programs identified as intermediate, advanced, or update will clearly identify prerequisite education, experience, and/or advance preparation, if any. Similarly, for courses with the program knowledge of basic and overview, prerequisite education, experience, and/or advanced preparation will also be noted or specifically marked as “none” in course descriptive materials. In general, no specific prerequisites are necessary for such courses unless stated in the individual program marketing materials. However, for all programs a working knowledge of the program’s subject matter or related work experience would be beneficial.

 

Promotional materials specific to each course will outline the program content and level to allow potential program participants to determine if the course content is aligned with their development needs. For Group Internet Based webinars purchased through an online platform, promotional material is prominently displayed online prior to course registration.

 

 

During the content development process for live events, input and suggestions are solicited from the sponsoring organization regarding meeting objectives and participant backgrounds.  Course content and discussion emphasis is tailored to reflect that input.

For programs where such advance input is not possible (i.e. online webinar), promotional material is prominently displayed in the course description, and available prior to course registration, allowing potential participants the opportunity to determine if the course aligns with their development needs.   Time is also allotted during the introduction portion of the event to solicit participant input and the subject matter is appropriately aligned to address the participants objectives.

Content and Delivery System

Standard 4

All courses offered by Peters Professional Education, LLC will use activities, materials, and delivery systems that are current, technically accurate, effectively designed and will contain the most recent publication, revision or review date. Courses will be revised as soon as feasible following changes to relative codes, laws, rulings, decisions, interpretations, etc.  All learning content will be developed by individuals having expertise in the subject matter. Courses in subjects that undergo frequent changes will be reviewed by a subject matter expert at least once a year. Other courses will be reviewed every 2 years.  Courses in subjects that undergo frequent changes will be reviewed by a subject matter expert at least once a year. Other courses will be reviewed every 2 years.

 

Content is Developed by a Subject Matter Expert

Standard 5

 

Programs offered by Peters Professional Education, LLC will be developed and taught by individuals or teams having expertise in the subject matter. Such expertise will have been demonstrated through practical experience and/or education. At least one actively licensed C.P.A. will participate in the development of every program in accounting and auditing (and all other fields of study) and the participation of an actively licensed C.P.A. or tax attorney will be required for each program in the field of study of taxes. 

 

Additionally, programs will be reviewed by qualified persons other than those who developed them. These reviews will occur before the first presentation of these materials and again after each significant revision of the program. Peters Professional Education, LLC will document each review and will maintain each program material along with the reviewer’s professional biography for a period not less than 5 years.

Content is Based on Relevant Learning Objective

Standard 2

All programs will contain relevant learning objectives and outcomes that clearly articulate the knowledge, skills, and abilities that can be achieved by the participants. These objectives will be clearly articulated in course specific promotional materials distributed prior to each instance of the program, thus allowing participants to accurately assess whether their specific development needs will be met.

     Securities offered through Cetera Advisor Networks LLC, member FINRA/SIPC. Advisory services offered through Carroll Financial Associates, Inc., a Registered Investment Adviser. Carroll Financial and Cetera are not affiliated. Carroll Financial and Cetera are under separate ownership from any other named entity. 

     This site is published for residents of the United States only. Registered Representatives of Cetera Advisor Networks LLC may only conduct business with residents of the states and/or jurisdictions in which they are properly registered. Not all of the products and services referenced on this site may be available in every state and through every advisor listed. For additional information please contact the advisor(s) listed on the site, visit the Cetera Advisor Networks LLC site at www.ceteraadvisornetworks.com

     Individuals affiliated with Cetera firms are either Registered Representatives who offer only brokerage services and receive transaction-based compensation (commissions), Investment Adviser Representatives who offer only investment advisory services and receive fees based on assets, or both Registered Representatives and Investment Adviser Representatives, who can offer both types of services. Tax services are provided by Peters Tax Preparation & Consulting, PC and are not provided by Cetera Advisor Networks or Carroll Financial.


David Peters Financial

Mail to: 8005-C, #129, Creighton Pkwy #129, Mechanicsville, VA 23111

1657 West Broad Street, #5, Richmond, VA 23220