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Ch 2: Financial Planner Professional Conduct & Regulation

About This Chapter

The chapter will give you information on professional conduct and regulation as a financial planner. The retention of this information can be tested through self-assessment quizzes and a chapter test.

Financial Planner Professional Conduct & Regulation- Chapter Summary

This chapter is made up of lessons that walk you through different ways a financial planner can improve professional conduct and regulation. You can learn about three different types of financial institutions. Other information that is included in this chapter are:

  • Organization regulations in the accounting field such as the Securities and Exchange Commission
  • U.S. Treasury regulatory measures for financial institutions
  • Different laws and regulations to promote consumer protection such as product liability
  • Relationships with fiduciary duties

Each of these video and text lessons are paired with self-assessment quizzes to test yourself on the material in this chapter. The quizzes and the chapter test all give you immediate feedback so you will know what your strengths and weaknesses are. Then you can go back into the lesson and review the information until you master it and can move forward.

5 Lessons in Chapter 2: Financial Planner Professional Conduct & Regulation
Test your knowledge with a 30-question chapter practice test
Types of Financial Institutions: Definition, Examples & Roles

1. Types of Financial Institutions: Definition, Examples & Roles

In this lesson, we'll explore three types of financial institutions and their roles in financial intermediation. By the end of the lesson, you should also be able to provide an example or two of each type of institution, some of which you may have already used in real life.

The Securities & Exchange Commission: Definition, History & Purpose

2. The Securities & Exchange Commission: Definition, History & Purpose

The accounting industry is regulated by several organizations. Each of these were created by the Securities and Exchange Commission. In this lesson, you will learn the definition, history, and purpose of the SEC.

U.S. Treasury Regulatory Measures on Financial Institutions

3. U.S. Treasury Regulatory Measures on Financial Institutions

This lesson explains why the U.S. Treasury regulates financial institutions. It will then list, define, and explain the major regulations that it enforces to protect a consumer's money.

What Is Consumer Protection? - Product Liability, Laws & Rights

4. What Is Consumer Protection? - Product Liability, Laws & Rights

Consumer protection refers to the laws and other forms of government regulation designed to protect consumers. One form of consumer protection is product liability. This lesson explains consumer protection and product liability.

Fiduciary Duties of an Agent

5. Fiduciary Duties of an Agent

Agency relationships are fiduciary relationships. This means the agent is obligated to act in the best interests of the principal. This lesson explains the fiduciary duties agents owe to their principals.

Chapter Practice Exam
Test your knowledge of this chapter with a 30 question practice chapter exam.
Not Taken
Practice Final Exam
Test your knowledge of the entire course with a 50 question practice final exam.
Not Taken

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