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Continuing Education credit — July 2023

As a subscriber to Financial-Planning.com, 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 email a certificate of completion. Please take a screenshot of the results screen, and 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.

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1. Per the SEC’s Investment Advisor Codes of Ethics Rule, so-called access persons within an advisory firm must report their own personal securities holdings within how many days of being deemed an access person, and then at least this many times within a 12-month period. *This question is required.
Related Content:  RIA code of ethics: Important nuances to note in relatively straightforward requirements
2. Access persons must report their own securities transactions, or those of their immediate family, within how many days of the end of each calendar quarter. *This question is required.
Related Content:  RIA code of ethics: Important nuances to note in relatively straightforward requirements
3. Which of these investments requires pre-approval of the advisory firm before an access person can acquire them? *This question is required.
Related Content:  RIA code of ethics: Important nuances to note in relatively straightforward requirements
4. What is the maximum that investors over the age of 70 ½ can donate from an IRA directly to a qualified charity without triggering any federal income taxes? *This question is required.
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5. Which of these taxes is NOT relevant to an art collector who wants to sell their art and is a single taxpayer who makes $180,000 per year? *This question is required.
Related Content:  The fine art of blunting tax hits when selling or gifting art
6. The Teacher Loan Forgiveness program forgives up to this amount in certain federal loans for teachers who have worked at least five years at low-income schools or educational service agencies. *This question is required.
Related Content: 3 strategies to help clients with student debt after the Supreme Court's decision
7. Public Service Loan Forgiveness allows employees of government agencies and nonprofit organizations to forgive whatever is left of certain student debts after this many monthly payments. *This question is required.
Related Content: 3 strategies to help clients with student debt after the Supreme Court's decision
8. Per a National Association of Personal Financial Advisors policy, advisors who cannot shed this amount or less in trailing commissions can keep their fee-only status by giving the money to nonprofit groups. *This question is required.
Related Content: NAPFA chair: New policy offers pathway out of trailing commissions to fee-only world
9. The Qualified Small Business Stock exemption eliminates the federal income tax on the capital gain of the greater of $10 million or 10X invested capital, up to a maximum of how much. *This question is required.
Related Content: QSBS exemptions are underused and underappreciated. That needs to change
10. Which of these is a qualifying condition for a business to qualify for the exemption? *This question is required.
Related Content: QSBS exemptions are underused and underappreciated. That needs to change
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