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A. Professional Conduct and Regulation > Financial Services Regulations and Requirements > Flashcards

Financial Services Regulations and Requirements Flashcards

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A. Professional Conduct and Regulation (7 decks)

CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct

CFP Board's Financial Planning Practice Standards

CFP Board's Disciplinary Rules and Procedures

Function, Purpose, and Regulation of Financial Institutions

Financial Services Regulations and Requirements

Consumer Protection Laws

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