Standards of Professional Conduct Refresher Quizzes
Overview
These refresher quizzes contain 25 multiple choice and True/False questions. There is no time limit and you can save your progress to finish later.
The passing score for each refresher quiz is set at 76%. A certificate of completion will be available to print or download when you successfully pass each quiz.
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Note to CFA Institute Members: Passing each quiz successfully (76%+ score) qualifies for 0.50 PL credit in the content area of Standards, Ethics, and Regulations (SER). Use your PL Tracker to record credits for this activity upon successful completion.
Note to CFA Program Candidates: These quizzes are good for practicing and applying what you are learning in the CFA Program curriculum, but please consider them a supplemental study aid.
Quizzes
Professionalism
This self-administered quiz is designed to test ethical awareness and knowledge of the CFA Institute Standards of Professional Conduct related to Professionalism. The concepts covered include Knowledge of the Law, Misconduct, Loyalty (to Employers), Additional Compensation Arrangements, Responsibilities of Supervisors, Conduct as Participants in CFA Institute Programs, and Reference to CFA Institute, the CFA Designation, and the CFA Program.
Transparency and Disclosure
This self-administered quiz is designed to test ethical awareness and knowledge of the CFA Institute Standards of Professional Conduct related to Transparency and Disclosure. The concepts covered include Misrepresentation, Performance Presentation, Communication with Clients and Prospective Clients, Disclosure of Conflicts, and Referral Fees.
Trading and Analysis
This self-administered quiz is designed to test ethical awareness and knowledge of CFA Institute Standards of Professional Conduct related to Trading and Analysis. The concepts covered include Material Nonpublic Information, Market Manipulation, Diligence and Reasonable Basis, Record Retention, and Priority of Transactions.
Interactions with Clients
This self-administered quiz is designed to test ethical awareness and knowledge of the CFA Institute Standards of Professional Conduct related to Interactions with Clients. The concepts covered include Loyalty, Prudence, and Care; Fair Dealing; Suitability; Confidentiality; and Independence and Objectivity.