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Final Steps

Policy Exception Requests

CFP Board establishes and administers standards for financial planning professionals for the benefit of the public. CFP Board has established policies and requirements for CFP® certification and enforces those policies and requirements in a consistent manner. Exceptions to established policies and requirements are rarely granted.

CFP® certificants and applicants for CFP® certification who wish to request exceptions to specific policies or requirements of CFP Board may submit a Policy Exception Request Form. Please allow 7–10 days for a response to your request.

Exceptions are not granted for initial certification requirements. One initial certification requirement will not substitute for another. For example, experience will not substitute for the degree requirement.

All applicants must:
• Meet the education coursework requirement
• Have a bachelor’s degree or higher
• Pass the CFP® exam
• Meet the experience requirement
• Meet the ethics requirement

The request will be reviewed by CFP Board’s Managing Director, Professional Practice. CFP Board will issue a determination letter no later than 10 days from the date the request is received. In most circumstances, CFP Board will send the determination letter via email. If requested, CFP Board will mail the determination letter.

Individuals may choose to appeal the decision stated in the determination letter by submitting a written appeal to CFP Board’s Policy Exception Committee, which is made up of CFP Board’s Chief Executive Officer, General Counsel and a rotating senior-level staff appointee. Any appeal must be received at CFP Board no later than 30 days from receipt of the determination letter. The Policy Exception Committee meets four times each year, once per quarter. The decision of the Policy Exception Committee is final.

Download the Policy Exception Request Form 

Once you have completed the form and assembled all materials you wish to have considered with your policy exception request, email or fax your request to CFP Board at:

ATTN: Policy Exception Review
Fax: 202-379-2299