CFP Board, FINRA Consider Rules Feedback

CFP Board is seeking public feedback on proposed changes that would allow expunged criminal convictions to be considered a mitigating factor when evaluating certification applicants under its Fitness Standards, Procedural Rules, and Sanction Guidelines. According to CFP Board General Counsel Leo Rydzewski, the proposed approach is consistent with how CFP Board currently considers certain serious misconduct cases that were resolved through pre-trial diversion or deferred adjudication.

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