Covers SSPFPS-No.1 and the laws that govern the securities industry, the regulatory landscape, and the fiduciary duty of the financial planner.
NASBA Field of Study
Tom Tillery, Susan M. Tillery
The regulatory and fiduciary landscape for personal financial planning is complex. Practitioners who practice in this discipline face a challenging regulatory maze.
SSPFPS-No. 1 provides a roadmap to traverse this maze and gives an understanding of the regulatory landscape, which is crucial to effectively practice the discipline.
In this audiovisual course, Tom Tillery discusses key areas you need to understand, and adhere to, in order to effectively provide financial planning services, including:
Also covered are some of the laws that govern the securities industry:
Group ordering for your team
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