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Financial Planner

Category - Professional Conduct and Regulation

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Which of the following is NOT one of the forms of discipline?

Fines and penalties
A private letter of reproach
A public letter of reproach
Additional continuance of education

Explanation

Answer: A - Article 4 of the Disciplinary Rules and Procedures defines the forms of discipline. These include private censure or public letter of admonition (both written reproaches), suspension, and revocation. The DEC can also order the respondent to complete additional continuing education coursework, or remedial work, instead of or in addition to any other form of discipline.

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Financial Planner

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Financial Planner

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