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Hosted by FPA Connecticut

Ethics CE: CFP Board’s Revised Code and Standards plus A Deep Dive Into the SEC’s Investment Advice Rules Package

Overview
FPA CT Valley programs offer educational and networking opportunities to members and non-members.   Join outstanding educators to explore new tools and strategies, practice management concepts, and how to better serve your clients. Programs are open to all audiences. 

Sponsors
Program sponsors help keep the registration cost low and contribute to the vitality of the organization.   Please be sure to thank them at the program when you see them.

Cost & Registration
Registration is required.  FPA Members receive a discount.  Register online or by email, phone or fax. Scroll down on this event page for registration and payment.  Make checks payable to FPA of CT Valley and mail to 95 West Street, Rocky Hill, CT 06067 for pre-registration.

CE Credits
Many programs offer CFP and PACE credit.   Others also offer CT State insurance credit.   See below for credit updates.
 
 
 Sponsored in part by:
 
 

Wednesday, October 23, 2019
11:30 AM - 3:00 PM

Location

Four Points by Sheraton Meriden
275 Research Parkway
Meriden   CT   06450
 
Map for Location


Speakers


Register and pay now by credit card, debit card, PayPal account or mailed check


Member Fee $60.00
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Guest Fee $75.00
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Agenda

 


Thomas P. Morrone, CFP®, CPA
Owner/Principal
U.S. Wealth Management

Oct 23 2019 12:00PM


Ethics CE: CFP Board’s Revised Code and Standards`


This program fulfills the requirement for CFP Board approved Ethics CE. It is designed to educate CFP® professionals on CFP Board's new Code of Ethics and Standards of Conduct, which is effective October 1, 2019



Kevin Turton
Consultant, Investment Adviser Services
NRS

Oct 23 2019 2:00PM


A Deep Dive Into the SEC’s Investment Advice Rules Package


Kevin Turton from National Regulatory Services (NRS) will discuss the ramifications of the SEC’s investment advice rules package adopted in June 2019. Attendees will learn how to prepare in advance for Form CRS filing requirements in 2020 and clarification the SEC’s current interpretation of the term “fiduciary.”



Sessions

Continuing Education, per session, show accepted hours, or info about CE status. Hover over hours or info for details.


DateCourse Title/DescriptionStartCFP®CT Ins
Oct 23, 2019 Ethics CE: CFP Board’s Revised Code and Standards` Thomas P. Morrone, CFP®, CPA 12:00 P 2.00 2.00
A Deep Dive Into the SEC’s Investment Advice Rules Package Kevin Turton 2:00 P 1.00 1.00



Registration Fee
Member
Through  October 18 $60.00
  October 19 October 23 $60.00
Non-Member
Through  October 18 $75.00
October 19 October 23 $85.00