ICFP Organizes Series 65 Waiver Campaign

December 1998
Journal of Financial Planning;Dec1998, Vol. 11 Issue 6, p73
Academic Journal
This article reports on the efforts of the Institute of Certified Financial Planners Government Relations Department to distribute information kits to societies in preparation for a new competency exam that will be adopted in 1999 by many state securities regulators in the U.S. The new Series 65 exam has been designed by The Chauncey Group, which also administers the Certified Financial Planner (CFP) exam. Currently only eight states waive the Series 65 exam for persons holding the CFP designation. About 41 states with investment adviser laws currently require successful passage of the Series 65 exam. The background material that societies will be asked to submit to their state securities regulator includes detailed matrices of how the CFP exam compares to the Series 65 and Series 7 exams, and talking points.


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