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PFP Regulatory and Fiduciary Landscape

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Member Price
$79.00 Regular Registration
Your Price
$99.00 Regular Registration
Designed For:

CPAs and financial planners with basic knowledge of financial planning and an interest in personal financial planning

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:

The regulatory landscape
Te fiduciary duty of the financial planner
Registration and licensing requirements
Professional liability and compliance requirements
Also covered are some of the laws that govern the securities industry:

Securities Act of 1933
Securities Exchange Act of 1934
Investment Company Act of 1940
Investment Advisers Act of 1940


Delivery Method: Self-Study
CPE Credit: Specialized knowledge
Program Level: Intermediate

This course is being offered by a 3rd party vendor and will not be accessible on your My CPE page. Webinar access information will be emailed directly to you by AICPA.

Related Events

The Virginia Society of CPAs (VSCPA) is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: NASBARegistry.org.

For more information regarding refund, complaint, program cancellation or other policies, visit our Registration Policies page or call (800) 733-8272.