Ethics

Self-Reporting Form

The self-reporting form is used by a CFP® professional to report to CFP Board any disclosable event, as detailed within Standard E.3 of the Standards of Conduct. Written notice to CFP Board must be provided within thirty (30) calendar days of both the initiation and conclusion of the reportable matter.

More about Self-Reporting and Disclosable Events

Instructions: Please complete all relevant fields in this form and provide all documentation related to the disclosable event. Not every report results in an investigation by CFP Board, but in the event that further information is necessary, CFP Board staff will contact you.

If you have questions about your submission, you may contact us at disclosure@cfpboard.org.

First Name Last Name CFP Board ID # Address Address (Continued) City State Zip Code Phone Number Email Nature of Reportable Event (You can only select one item) Date of Event

Does this Event relate to a customer relationship?

Yes

Description of Reportable Event (Please describe, in detail, the nature of the event, including the context of the event and your response to it, if any). Please upload documentation related to your Event (e.g., Statement of Claim, Complaint, Form U-5, Bankruptcy Petition, etc.). Please upload documents in Word or PDF format.

UPLOAD

Upload 2

UPLOAD

Upload 3

UPLOAD

ATTESTATION

By submitting this Self-Reporting Form, I hereby attest that the contents of this Self-Reporting Form are true and accurate and there are no other events of which I am aware that I am required to disclose pursuant to Standard E.3 of the Standards of Conduct. I make this disclosure with the understanding that any false or misleading statement may be considered a violation of Standard E.5 of the Standards of Conduct and may result in sanctions, up to and including revocation of my right to use the CFP® marks.