easy · Certified Financial Planner Estate Planning
An associate at the Pfeiffer firm was recently charged with a felony involving a non-financial matter.
Under the CFP Board's Procedural Rules, what is the reporting requirement?
- The associate has no reporting requirement if the charge is unrelated to professional conduct.
- Notify the firm's compliance officer immediately, but only notify CFP Board if the firm takes disciplinary action.
- Notify CFP Board within 30 calendar days of the initial charge.
- Notify CFP Board within 30 calendar days of a conviction only.
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