About This Chapter
CFP Board Rules & Regulations - Chapter Summary
These lessons flesh out the different rules and regulations set forth by the CFP Board. As you make your way through the chapter, you'll learn about the associated codes, terminology, and financial planning practices and processes. By the end of the chapter you can expect to have a firmer grasp on:
- Ethical regulations of the CFP Board
- Comprehending the CFP Board's code of conduct
- The CFP Board's six steps of financial planning
- Disciplinary procedures of the CFP Board
If you get lost at any point of the material, you won't be alone, with our professional instructors available for questions through the teacher or help tab. You'll also be able to self-check your understanding of each topic by means of practice quizzes accompanying every lesson. These quizzes can be taken a limitless number of times and are printable as worksheets for offline use.
1. CFP Board's Code of Ethics & Professional Responsibility
This lesson focuses on the definitions, principles and application of the Certified Financial Planner Board's code of ethics and professional responsibility.
2. Understanding the CFP Board's Rules of Conduct
Certified financial planners are governed by a board which uses of six rules of conduct, and this lesson will not only review each of those rules but will also provide examples for a better understanding of how each rule applies to a CFP.
3. CFP Board's Financial Planning Practice Standards
This lesson will briefly explain the role of a Certified Financial Planner. It will lay out and explain six practice standards that certified financial planners are expected to follow.
4. CFP Board's Disciplinary Rules & Procedures
This lesson discusses the purpose of the Certified Financial Planning Board disciplinary process and grounds for complaints against a CFP. It then lists the steps in the disciplinary process and possible sanctions for violations.
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Other chapters within the CFP Certification Exam Study Guide - Certified Financial Planner course
- Financial Planner Professional Conduct & Regulation
- General Principles of Financial Planning
- Education Financial Planning
- Individual Insurance Planning
- Risk Management & Business Insurance Planning
- Types of Investment Vehicles
- Investment Planning
- Tax Planning
- Retirement Savings & Income Planning for Individuals
- Retirement Savings & Income Planning for Businesses
- Estate Planning Strategies
- Financial Planning for Personal Life Situations
- CFP Client Relationship
- CFP Certification Exam Study Guide - Certified Financial Planner Flashcards