CFP Board's Procedural Rules

Free CFP Exam lesson in Professional Conduct and Regulation. 14 min read, ~2,035 words.

Anyone can file a complaint, no standing requirement, no direct harm needed. Personal bankruptcy requires disclosure but is NOT automatic grounds for discipline. Interim suspension requires a felony conviction/guilty plea involving fraud, complaints and civil suits do not qualify. Non-cooperation is a standalone violation, independent of the underlying allegation. Self-report...