Week 5 Flashcards
1
Q
Licenses and what they allow
A
6- sell inv co products (mf annuity and life)
22- tax shelter gas oil tv
7- everything but commodity and opt
62- Corp sec limited (combine w/ 6&22=7)
63- allows rep to sell sec in several states
65- state and fed sec law & unethical business practice
66- combine 63&65
2
Q
7 principles of cfp code of ethics
A
Integrity Objectivity Competence Fairness Confidentiality Professionalism Diligence
