CFP® exam drill: Professional Conduct and Regulation
10 questions · Untimed · Explanation after each question
CFP Board’s Code of Ethics and Standards of Conduct, the fiduciary duty, the Procedural Rules, financial services regulation and consumer protection. Ten questions from our professional conduct bank, with an explanation after each answer.
Before you start
- Every question has four choices (A, B, C, D) and one correct answer. Keep a financial calculator next to you for the time value of money questions; questions give any tax figure they need.
- Check each answer to read the explanation before moving on. Checked answers cannot be changed.
Create a free account before you start
Create a free account to start. Every drill includes one free attempt. The CFP exam pass unlocks the full timed mock and unlimited drills for every domain.
Game Assessment Prep is an independent practice site. It is not affiliated with, endorsed by or a registered education program of CFP Board, and CFP Board does not review or endorse these questions. Every question is original; none is taken from CFP Board practice exams or other CFP Board materials. Certified Financial Planner Board of Standards Center for Financial Planning, Inc. owns and licenses the certification marks CFP®, CERTIFIED FINANCIAL PLANNER®, and CFP® (with plaque design) in the United States to Certified Financial Planner Board of Standards, Inc., which authorizes individuals who successfully complete the organization’s initial and ongoing certification requirements to use the certification marks.