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Financial Services Review CE Exam: Vol. 27 No. 1 - Part 2

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Self-study exam based on a thorough understanding of technical and research-based articles on the specific topics of: characteristics, uses and taxation of investment vehicles; asset allocation and portfolio diversification; portfolio development and analysis; principles of communication and counseling; and client and planner attitudes, values, biases and behavioral finance.

  • Analyze the performance of large cap equity funds over a multi-year period to determine if alpha is conditioned on expenses
  • Examine how the results of a study show that large cap funds underperform against benchmarks after incorporating expenses
  • Investigate the validity of the argument by the financial services industry to “roll over your ‘old’ 401(k) plan” because 401(k)-type plans have a limited number of investment options
  • Discover if trust in banks increases with repeated personal contacts with respect to the customer-employee relationship

Key:

Complete
Failed
Available
Locked
FSR CE Exam Part 2: Vol. 27 No. 1
10 Questions  |  2 attempts  |  7/10 points to pass
10 Questions  |  2 attempts  |  7/10 points to pass
Certificate of Completion
1.0 CFP CE credit  |  Certificate available
1.0 CFP CE credit  |  Certificate available