A cfp professiona Study guides, Class notes & Summaries

Regarding buying securities on margin, which self-regulatory organizations (SROs) require you to deposit a minimum of $2000 or 100 percent of the purchase price, whichever is less? - Answer- Financial Industry Regulatory Authority (FINRA) Principle 4—Fairness does not include - Answer- Treating all clients the same. Under CFP Board fiduciary rules, a CFP professional who is providing financial planning advice must follow client instructions. There are times, however, when a CFP professio...