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Wealth Management Regulatory Resources

Designations from the College for Financial Planning®—a Kaplan Company are highly regarded by key regulatory bodies.

State & National Approval/Regulation

NASAA (North American Securities Administrators Association) Model Rule provides preferential treatment for designations awarded by accredited institutions of higher education. All of College’s designations are acceptable for usage.

NAIC (National Association of Insurance Commissioners) Model Rule provides preferential treatment for designations awarded by accredited institutions of higher education. All of College’s designations are acceptable for usage.

ADV Brochure Supplement

The following text is provided to assist investment advisors who are registered with the SEC comply with the Form ADV brochure supplement (Part 2B) requirement. Advisors may use the entire text or choose sections to copy and paste.

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