Week 5

Question 1

Licenses and what they allow

Answer 1

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

Question 2

7 principles of cfp code of ethics

Answer 2

Integrity 
Objectivity
Competence
Fairness
Confidentiality
Professionalism
Diligence