1) Which of the following is not one of the categories comprising the CFP Board's Standards of Professional Conduct? a. Practice Standards b. Code of Ethics and Professional Responsibility c. Candidate Education Requirements d. Disciplinary Rules and Procedures

2) Based on CFP Board rules prior to October 1, 2019, which of the following would likely NOT be considered financial planning? a. Gathering data on a client's estate plan, insurance needs, and 401(k) investment options. b. Giving a client wide-ranging advice about generating sustainable income in retirement. c. Advising a client on the suitability of an investment to meet their personal retirement goals. d. Taking a client's order to sell 100 shares of Tesla stock.

3) Which of the following is NOT one of the six categories comprising the CFP Board's Rules of Conduct? a. Defining the relationship with a prospective client b. Obligations to securities regulators c. Information disclosed to prospective clients d. Obligations to an employer

4) Under the guidelines in force prior to October 1, 2019, which of the following is NOT one of the steps in the financial planning process? a. Identifying and selecting goals b. Analyzing a client's current course of action and potential alternative course(s) of action c. Implementing financial planning recommendation(s) d. None of the above

5) The statement, Adam is a very pleasant young man who is interested in animals and is generally skilled with computers might be found in what document? a. Family trust or third party trust b. A will c. A letter of intent d. A dossier

6) Providing a good home and maintaining a family is challenging enough without a special needs dependent. However, it becomes much more complicated with a child who is disabled or who has special needs. Which of the following is not correct? a. A parent or guardian should attempt to provide health insurance for the child b. A parent or guardian should attempt to help the child accumulate assets in the childs name to be sure the child can be cared for c. A parent or guardian should attempt to provide a good quality of life for the child d. A parent or guardian should attempt to preserve government benefits for the child