CFP Board's Procedural Rules

Free CFP Exam lesson in Professional Conduct and Regulation. 14 min read, ~2,099 words.

Anyone can file a complaint with no standing or harm requirement, and the Board can initiate investigations without a complainant. Personal bankruptcy requires disclosure but is not automatic grounds for discipline; the Board evaluates the circumstances. Interim suspension requires a felony conviction or guilty plea involving fraud; complaints, investigations, and...