What Is Code of Ethics?

Code of Ethics across 2 exams

Code of Ethics appears on the following exams. Each defines it in the context candidates are tested on:

Series 65

A required written document outlining an adviser's standards of conduct, compliance procedures, and policies on conflicts of interest, personal trading, and gifts. Advisers must provide clients a summary upon request and maintain records of the code.

Home Inspector

A set of professional conduct rules governing an inspector's duties to the client, including honesty, confidentiality, and avoidance of conflicts of interest. It complements the Standards of Practice by addressing behavior rather than technical scope.