Ethics CE Program Requirements

For Education Partners

MAXXCAT_START

Ethics CE Program Requirements

CFP® professionals are required to complete a CFP Board Ethics CE Program (“Ethics Program”) every two years.  Ethics Programs are renewed on a 2-year cycle, with learning objectives and content updated in every even-numbered year. 

CFP Board is responsible for the curriculum development of CE Ethics Programs.  Sponsors choosing to offer an Ethics Program must follow instructions for requesting CFP Board’s Ethics CE curriculum.  The updated instructions will be available in early 2018.

CFP Board will review each request before providing the Ethics Sponsor with the course content and related material. 


Requirements

  1. The Sponsor will deliver Live Ethics Programs in accordance with the Requirements for Live Programs as outlined in the 2018 CE Sponsor Terms and Conditions as well as the instructions provided in the Live Ethics Program package sponsors will receive when their request to deliver the course has been approved. 
  2. The Sponsor will deliver Self-Study Ethics Programs in accordance with the instructions provided in the Self-Study Ethics Program package sponsors will receive when their request to deliver the course has been approved. 
  3. In addition, Self-Study Ethics Programs will:
    1. Be offered online through a Learning Management System of the Sponsor’s choice;
    2. Require a forced progression through the content before access to the final assessment;
    3. Include pop-up quizzes and question randomization on the assessment, utilizing questions from the question bank provided by CFP Board;
    4. Provide a summary of correct and incorrect assessment responses only after a passing score is achieved; and
    5. Permit no more than 3 consecutive assessment attempts before being required to retake the course and/or a pre-determined waiting period.
  1. Ethics Programs offered as “independent study,” where the participant has access to a recorded webinar or program or is provided a “book” that is a PDF file of the course materials will not be accepted.
  2. Sponsor will adhere to CFP Board’s branding and presentation guidelines accompanying CFP Board’s course content.
  3. Sponsor will incorporate any curriculum updates provided by CFP Board within 30 days of receipt.
  4. Sponsor will promote the completion of an online course evaluation for Live Ethics Programs; Sponsors offering Self-Study Ethics Programs will require participants to complete a course evaluation before access to the Certificate of Completion.


Instructor Eligibility

Instructors conducting a Live Ethics CE program must:

  1. Be identified to CFP Board by the CE Sponsor in advance of leading the course. 
  2. Hold current CFP® certification, with all CFP Board CE requirements up-to-date and all renewal and other fees paid in full.
  3. Have held CFP® certification for 5 years or more.
  4. Not be the subject of a pending investigation by CFP Board or any federal or state regulator.
  5. Not have been the subject of a CFP Board disciplinary action (i.e. private censure, public letter of admonition, or suspension) within the past five years.
  6. View an Instructor Training webinar and submit an attestation of completion.


Attendance Reporting

Ethics CE providers must submit attendance reports to CFP Board using CFP Board's specified Attendance Reporting Form within two weeks of a program's completion using the appropriate online process.  Step-by-step instructions for submitting attendance online are available through the CE Sponsor Portal. 


Program Records

Ethics CE providers must maintain records for a period of three years following the date each program is presented:

  • The date and location of the program presentation(s).
  • The name(s) of each instructor or discussion leader.
  • The list of CFP® professionals attending each Live Program presentation and/or the list of CFP® professionals successfully completing each Self-Study Program.
  • The written outline of the program presentation(s).

Center For Financial Planning | Logo | Gold

The Center's focus includes workforce development, diversity, and the profession's body of knowledge.

Learn More

Reach New Clients

CFP Board’s “Find a CFP® Professional” online search tool can help you connect with Americans seeking professional financial planning services.

Update Your Profile Today

Continuing
Education

More than 1,000 CE Sponsors have registered with CFP Board to provide continuing education.

Find CE Opportunities