Skip survey header

Continuing Education credit — July 2019

As a subscriber to, you can earn up to 12 hours of CE credit from the CFP Board and the Investments & Wealth Institute.

Please read the articles and answer the questions below. To find the related article, click on the hyperlinked title of the story – both online-only articles as well as stories published in the magazine.

You must answer 8 of the 10 questions correctly to qualify for CE credit.

Financial Planning does not provide a certificate of completion. However, you will receive confirmation if you’ve passed the quiz. Please keep the confirmation for your records. Financial Planning reports results to the CFP Board weekly. The board may take an additional two weeks to post results.

If you need assistance, please contact SourceMedia customer service at, 212.803.8500.
1.  Which of these is NOT considered a triggering event that would help a client realize a net unrealized appreciation tax break on a lump-sum distribution of company stock? *This question is required.
2.  Which of these asset classes had the highest annualized returns from 1999 to 2018? *This question is required.
3. Which of these assets had the most favorable standard deviation of rolling 20-year returns from 1970 to 2018? *This question is required.
4.  Over the 30 rolling 20-year periods from 1970 to 2018, rebalancing the same seven-asset portfolio was advantageous to overall returns what percentage of the time? *This question is required.
5.  Where does the phaseout income range for a single tax filer aiming for the qualified business income deduction begin? *This question is required.
6.  Which of these tax deductions will reduce both QBI and AGI? *This question is required.
7.  Which FINRA form must a broker-dealer file to request an eligibility proceeding if the firm faces a shutdown after it self-reports improper 12b-1 fee disclosures? *This question is required.
8.  How much would this eligibility proceeding cost? *This question is required.
9. Which of these is NOT a requirement for the IRS to consider a trust a see-through instrument (thus making it eligible to be paid out over a beneficiary’s lifetime)? *This question is required.
10.  Which of these funds has the least favorable expense ratio? *This question is required.
This question requires a valid email address.