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Enforcement

Comments on the Proposed Procedural Rules

Individuals were provided an opportunity to comment on the proposed Procedural Rules before they went into effect on June 30, 2020.
The public comment period was from March 24 – April 24.

The final Procedural Rules became effective on June 30, 2020, when CFP Board began enforcement of the new Code of Ethics and Standards of Conduct. The Procedural Rules will consolidate and replace the Disciplinary Rules and Procedures and the Appeal Rules and Procedures.

CFP Board will enforce its Code and Standards through the peer-review process set forth in the Procedural Rules that is credible to the public and fair to those whose conduct CFP Board is evaluating.


Supporting Resources and Background

CFP Board's proposed Procedural Rules were first issued for public comment in 2018. Below are supporting resources that highlight changes in the revised proposed Procedural Rules, issued on March 24, 2020. 

Revised Proposed Procedural Rules (Issued on March 24, 2020)

Redline of Changes in the Revised Proposed Procedural Rules

Request for Comment and Background on Revised Proposed Procedural Rules

Previous Proposed Procedural Rules (Issued in November 2018)


Submitted Comments

The public comment period on the proposed Procedural Rules was from March 24 – April 24. Comments that were received are posted below and include the name of the commenter and date submitted.