The regulatory and fiduciary landscape for personal financial planning is complex. Practitioners who practice in this discipline face a challenging regulatory maze.

SSPFPS-No. 1 provides a roadmap to traverse this maze and gives an understanding of the regulatory landscape, which is crucial to effectively practice the discipline.

In this audiovisual course, Tom Tillery discusses key areas you need to understand, and adhere to, in order to effectively provide financial planning services, including:
* The regulatory landscape
* The fiduciary duty of the financial planner
* Registration and licensing requirements
* Professional liability and compliance requirements

Also covered are some of the laws that govern the securities industry:
* Securities Act of 1933
* Securities Exchange Act of 1934
* Investment Company Act of 1940
* Investment Advisers Act of 1940