Professional Conduct & Regulation | Ethics, Client Instructions & CFP Disciplinary Process

In this episode, we break down key concepts in Professional Conduct & Regulation through 3 CFP exam-style questions. We cover the CFP Board’s disciplinary process, how to handle client instructions during volatile markets, and when interim suspension applies. Learn how to eliminate wrong answers, understand fiduciary responsibilities, and approach these questions with confidence on exam day.

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This episode is 8 minutes long.

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This episode was published on March 23, 2026.

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