CFP® Continuing Education

This course provides a practical review of the Code of Ethics and Practice Standards through the use of definitions and short case studies in which you will have the opportunity to practice your ethical responsibilities. In some of the cases that we will present to you, there will be no right or wrong answer, but you will have to proceed in an ethical manner if faced with such situations in providing your financial planning services.

While completing the case studies, you should refer to the Code of Ethics and Professional Responsibility and Disciplinary Rules and Procedures found at www.cfp.net. Always keep in mind that this section represents the official adopted version of the Code.

LEARNING OBJECTIVES:

• Identify the concepts comprising the Code of Ethics and Professional Responsibility
• Describe professionalism and ethical standards expected from a CFP Board designee
• Show the attributes associated with a high standard of professionalism
• Apply ethical principles to daily CFP responsibilities
• Define what is meant by “CFP Board designee”
• Differentiate between the guidance provided by “rules” vs. “principles”
• Summarize which rules apply to particular CFP Board designee activities
• Demonstrate the responsibilities of a CFP Board designee
• Define the standards of consumer protection in the financial industry
• Identify the various regulations of the financial planning world

TOPICS COVERED:

• Introduction, Preamble and Scope
• Lesson 1: Compliance
• Lesson 2: Principles Defined with Practical Rules
• Lesson 3: Disciplinary Rules
• Lesson 4: Practice Standards

REGULATORY REQUIREMENT:

Please see the state/regulatory requirement from the course catalog page.

SEAT TIME:

This course has been approved for 2 hours.

TESTING:

Final Exam – You will be required to pass the final exam with a 70% in order to receive course credit.

COURSE COMPLETION:

Upon successful completion of this course you will be able to print your certificate online.

ABOUT THE SUBJECT MATTER EXPERT:

Joel Weiner

JD,CFP®,CDP,ChFC,CLU ,CFS

Joel is President and CEO of Professional Training Services, Inc., a Certified Provider for insurance pre-licensing and insurance education, as well as NASD securities and preparation courses, sales training, continuing education and more.

As an active financial planning practitioner, Joel maintains his insurance producer’s license for Life, Health, Property and Casualty insurance as well as numerous NASD securities licenses including General Securities Series 7, State Securities Series 63, Investment Advisor Series 65, Commodities Series 3, General Securities Principal Series 24, Options Principal Series 4, Financial Operations Manager Series 27 and Municipal Securities Supervisor Series 53.

His professional designations include Certified Financial Plannerâ„¢ Certification, Chartered Financial Consultant and Certified Fund Specialist. Joel has served as President of the Greater O’Hare Satellite and Board Member of the Greater Chicago International Association for Financial Planning.