This module, which contains questions and answers regarding CFP Fundamental Principal topics covered in the CFP exam. Get the CFP exam preparation you need.
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These flashcards will cover these topics:
A. Regulation of Employment – benefits provided by FICA and FUTA, legislation to regulate labor and safety, Wagner Act, OSHA, ADA, Taft-Hartley Act, Landrum-Griffin Act, Fair Labor Standards Act, ERISSA, Civil Rights Act, Title VII, union benefits, nonunionized sectors, closed shop, union shop, right to work laws, Workers’ Compensation Act.
B. Federal Securities Acts - Securities Act of 1933, Securities Exchange Act of 1934, registration statements, prospectus, remedies due to misleading registration statement, plaintiff’s burden of proof under Section 11, parties liable under the 1933 Act, types of security offerings requiring registration, exclusions to registration requirements, security transactions exempted under Regulation A and Regulation D, 3 registration exemptions under Regulation D, waiting period, insider status, filing requirements for insiders, securities exempt from registering under Securities Act of 1934, antifraud provisions, SEC evaluation of securities. |
