Standards of Professional Conduct quizzes
Take our quizzes to reinforce your understanding of the Standards of Professional Conduct. Whether you’re looking to earn Professional Learning (PL) credits as a member or enhance your comprehension of ethical concepts as a CFA Program candidate, these flexible, self-paced quizzes provide an easy way to support your professional development.
Format and benefits
- Self-paced and convenient: Each quiz consists of 25 multiple-choice and True/False questions, allowing you to refresh your knowledge at your own pace.
- No time limit: Save your progress and return to finish the quiz later.
- Certificate of completion: Pass with a score of 76% or higher to earn a certificate of completion.
- PL credits for members: Passing each quiz with a 76%+ score qualifies for 0.50 PL credit in Standards, Ethics, and Regulations (SER). Use the PL Tracker to record your credits.
Quizzes
Professionalism
Standards 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
Standards covered include Misrepresentation, Performance Presentation, Communication with Clients and Prospective Clients, Disclosure of Conflicts, and Referral Fees.
Trading and Analysis
Standards covered include Material Nonpublic Information, Market Manipulation, Diligence and Reasonable Basis, Record Retention, and Priority of Transactions.
Interactions with Clients
Standards covered include Loyalty, Prudence, and Care; Fair Dealing; Suitability; Confidentiality; and Independence and Objectivity.
More in this section
Professional Conduct Statement
Learn about the Professional Conduct Statement, which every member must complete annually.
Professional conduct
Learn how we investigate allegations, determine violations, impose sanctions, and disclose infringements.
Report misconduct
Report conduct you believe is unethical, illegal or harmful by CFA members or candidates.
