Covers SSPFPS-No.1 and the laws that govern the securities industry, the regulatory landscape, and the fiduciary duty of the financial planner.
Learning Objectives
Recognize who may provide personal financial planning services.;Identify the how a personal financial planner is regulated.;Select the securities Act known as the "truth in securities" law.;Identify what constitutes compensation for a registered investment adviser.;Recall the regulatory exclusion that exempts an adviser from registering as an investment adviser.;Choose which government agency is tasked with the enforcement of the Securities Act of 1933.
