CFP Exam Practice Questions

Message from the publisher: This volume tests the revised Code of Ethics, Standards of Conduct, and Procedural Rules only. Future volumes will cover additional Knowledge Domains that have recently been updated or changed from prior exams.


CFP Exam Practice Questions (Volume 1) provides 200 Professional Conduct and Regulation questions to prepare for the six-hour CFP certification exam. In this volume, your knowledge of the CFP Board’s revised Code of Ethics, Standards of Conduct, and Procedural Rules will be thoroughly tested and evaluated. All questions are test-level difficulty and focused on helping you achieve a passing score on the certification exam.


Included are five 40-question tests covering the following topics:

• Fiduciary duty

• Conflicts of interest

• Confidentiality and privacy

• Duties owed to clients

• Compensation methods

• Related party rules

• Financial planning process

• Use of the CFP marks

• Complaint resolution process

• Sanctions for misconduct


About the CFP Program

The CERTIFIED FINANCIAL PLANNER credential is the most respected and widely recognized financial planning designation in the world. Founded in 1973, the CFP program provides a strong foundation of advanced financial planning analysis that certificants use through all stages of their careers. With particular emphasis placed on ethics and commitment to clients, the CFP professional has earned a distinguished reputation backed by security and stewardship. By earning the CFP designation, you will join a vast professional network and gain unmatched credibility and career resources.