CFP Board Procedural Rules

Question 1

Each party must file a notice identifying all witnesses within… (Days?)

Answer 1

30 Days

Question 2

Who review and decide all appeals?

Answer 2

Appeals Committee of the Board of Directors will review and decide all appeals. They will be represented by counsel, including during any hearing.

Question 3

Respondent must deliver to CFP Board a document acknowledging receipt of the NOTICE of Investigation within how many calendar days?

Answer 3

14 calendar days from delivery to Respondent of the Notice of Investigation

Question 4

A suspension of CFP Certification during the pendency of proceedings is referred to as…

Answer 4

Interim Suspension

Question 5

DEC-imposed suspensions timeline… what is min and max

Answer 5

Not less than 90 days or greater than 5 years.

Question 6

Having 2 or more personal bankruptcies is considered conduct deemed what?

Answer 6

Presumptive Bar