Conduct And Practices Handbook Course Cph Exam Complete Study Guide

Last Updated On: February 2024

The Conduct and Practices Handbook (CPH) Exam is a requirement for individuals seeking a career in the financial services industry, particularly in the areas of securities and investment. The exam is designed to test the candidate’s knowledge of regulatory requirements, professional conduct, ethics, and compliance practices. As such, passing the CPH Exam is a crucial step towards obtaining a securities license and becoming a competent financial professional.

To prepare for the CPH Exam, candidates need a comprehensive and effective study guide that covers all the key topics and provides practical tips for success. This article aims to provide such a guide by outlining the purpose and content of the CPH Exam, suggesting a study plan, reviewing the main topics covered by the exam, and offering advice for exam day.

By following this guide, candidates can increase their chances of passing the CPH Exam and advancing their career in the financial services industry.

Understanding the Purpose of the CPH Exam

The purpose of the CPH exam is to evaluate the knowledge and skills of public health professionals and ensure that they meet the necessary standards to protect and improve the health of populations.

This exam is designed to assess the competencies required for public health practice, including the ability to apply basic principles of epidemiology, biostatistics, and environmental health to public health problems.

The CPH exam is also intended to promote continuing education and professional development among public health professionals.

By ensuring that public health professionals meet the necessary standards, the CPH exam may instill a sense of responsibility and accountability in individuals seeking accreditation.

This exam is an important step towards ensuring that the public health workforce has the necessary skills and knowledge to address current and emerging public health issues.

Successful completion of the CPH exam demonstrates proficiency in a variety of public health competencies, which may lead to career advancement and increased opportunities for professional growth.

Key Topics Covered on the CPH Exam

One of the major areas of focus on the CPH exam includes a range of key topics that candidates must be familiar with in order to successfully pass the exam. These topics cover a broad spectrum of public health knowledge, including epidemiology, biostatistics, environmental health, social and behavioral sciences, and health policy and management.

Additionally, the exam covers topics on public health practice, such as program planning and evaluation, communication, and community mobilization.

In order to prepare for the CPH exam, candidates should review these key topics thoroughly and gain a deep understanding of the concepts and principles underlying each area. They should also be able to apply their knowledge to practical public health scenarios.

The CPH exam is an important milestone for public health professionals, as it demonstrates a level of competency in the field and can lead to career advancement opportunities. By mastering these key topics, candidates can ensure they are well-prepared to pass the exam and excel in their public health careers.

Developing a Study Plan

Developing an effective study plan is crucial for candidates preparing for the CPH exam to ensure they have a comprehensive understanding of the key topics and can apply their knowledge to practical public health scenarios. To create a successful study plan, candidates should consider the following:

  1. Determine the amount of time needed to prepare: It is important to create a realistic timeline that allows for sufficient studying and review. Candidates should consider their personal schedules and responsibilities when creating their timeline.

  2. Identify the key topics: Candidates should familiarize themselves with the key topics covered on the CPH exam and prioritize their studying accordingly. This will help ensure that they have a solid understanding of the most important concepts.

  3. Utilize various study materials: Candidates should use a variety of study materials, such as textbooks, online resources, and practice exams, to reinforce their understanding of the key topics. It is also important to take breaks and practice good self-care to avoid burnout and maintain focus throughout the studying process.

By following these guidelines, candidates can develop a comprehensive study plan that is tailored to their individual needs and ensures their success on the CPH exam.

Reviewing Professional Conduct and Ethics

Professional conduct and ethics are essential components of public health practice that require thorough review and understanding for successful application in real-world scenarios. Professionals in this field must adhere to a strict code of conduct that emphasizes the importance of ethical decision-making, transparency, and accountability.

Reviewing professional conduct and ethics is crucial for public health practitioners to ensure that they are equipped with the necessary knowledge and skills to navigate complex ethical dilemmas that may arise in their line of work.

To effectively review professional conduct and ethics, practitioners must become familiar with the different frameworks and principles that govern ethical decision-making. These frameworks often place emphasis on the principles of autonomy, beneficence, non-maleficence, and justice.

Practitioners must also understand the importance of cultural competence in public health practice and the role it plays in shaping ethical decision-making.

By reviewing professional conduct and ethics, public health practitioners can ensure that they are equipped with the necessary tools and knowledge to navigate complex ethical dilemmas and make sound decisions that prioritize the health and wellbeing of the communities they serve.

Understanding Regulatory Requirements

Understanding regulatory requirements is a critical aspect of public health practice, as it ensures that practitioners are aware of the legal and ethical boundaries within which they must operate. Regulatory requirements refer to the laws, rules, and guidelines that govern the practice of public health. These requirements are put in place to protect the public from harm and ensure that public health practitioners are held accountable for their actions.

Failure to comply with regulatory requirements can result in legal and ethical consequences, including loss of license, fines, and even imprisonment. Public health practitioners must be familiar with the regulatory requirements that apply to their specific area of practice.

For example, practitioners working in clinical settings must comply with regulations related to patient privacy, informed consent, and medical record-keeping. Those working in environmental health must comply with regulations related to air and water quality, waste management, and food safety. Understanding regulatory requirements is not only important for compliance but also for ensuring that public health practitioners are providing the highest quality of care to their patients and communities.

Mastering Client Accounts and Trading Activity

Having a solid understanding of regulatory requirements is crucial in the financial industry. However, it is not enough to simply comply with regulations; financial professionals must also master client accounts and trading activity.

This includes understanding the various types of accounts, such as cash accounts and margin accounts, as well as the different types of orders that clients may place.

In addition to understanding client accounts, financial professionals must also be able to effectively manage trading activity. This includes monitoring market trends, analyzing trading patterns, and using risk management strategies to ensure that clients are making informed and profitable trades.

By mastering client accounts and trading activity, financial professionals can provide high-quality service to their clients while also ensuring that they comply with all regulatory requirements.

Learning Best Compliance Practices

To effectively navigate the complex and ever-changing landscape of regulatory compliance, financial professionals must stay up-to-date on the latest industry developments and adhere to best practices. By learning and implementing best compliance practices, professionals can mitigate risk and protect their clients’ interests.

Here are three key best compliance practices:

  1. Conduct regular risk assessments: By conducting regular risk assessments, financial professionals can identify potential areas of non-compliance and take proactive measures to mitigate risk. Risk assessments should cover all aspects of a financial firm’s operations, including client onboarding, account management, and trading activity.

  2. Keep detailed records: Keeping detailed records is critical to demonstrating compliance and responding to regulatory inquiries. Financial professionals should maintain accurate and complete records for all client accounts, transactions, and communications.

  3. Implement robust training programs: To ensure that all staff members understand and adhere to best compliance practices, financial firms should implement robust training programs. These programs should cover all relevant regulations and best practices and should be regularly updated to reflect changes in the regulatory landscape.

Tips for Exam Day

On the day of the securities exam, it is essential to arrive early to ensure a smooth check-in process and allow sufficient time to review any last-minute notes before starting the exam. Arriving early will also help to minimize the stress and anxiety that often accompany high-stakes exams.

It is also crucial to bring all necessary identification documents and materials, such as pencils, erasers, and calculators, as specified by the examination instructions. Failure to bring these items may result in disqualification from the exam.

Another crucial tip for exam day is to carefully read and follow all instructions provided by the examination proctor. This includes reading the instructions on the exam booklet cover, following any special instructions, and understanding the time limit for each section of the exam.

Test-takers should also avoid rushing through the exam and take the time to read each question carefully and thoroughly before answering. Finally, it is essential to remain calm and focused during the exam, and not let any distractions, such as noise or other test-takers’ behavior, affect performance.

By following these tips for exam day, test-takers can increase their chances of success and achieve their desired results.

Frequently Asked Questions

How long is the CPH Exam and how many questions does it consist of?

The CPH exam is a standardized test that measures a candidate’s knowledge and understanding of the Conduct and Practices Handbook.

The exam is typically 3 hours long and consists of 125 multiple-choice questions.

The questions are designed to assess the candidate’s comprehension of the ethical and professional standards outlined in the Handbook, as well as their ability to apply them in real-world scenarios.

The exam covers a wide range of topics, including the responsibilities of investment advisors, regulatory requirements, conflicts of interest, and client communication.

The passing score for the CPH exam is 70%, and candidates must typically complete the exam within a certain time frame in order to earn their certification.

What is the passing score for the CPH Exam?

The passing score for the CPH exam is 70%. This means that candidates must answer at least 70% of the questions correctly to pass the exam.

The exam consists of 125 multiple-choice questions, which are designed to assess the candidate’s knowledge and understanding of the Conduct and Practices Handbook. The questions cover a range of topics, including ethical standards, regulatory requirements, and industry best practices.

The exam is timed, and candidates have three hours to complete it. Candidates who do not pass the exam on their first attempt can retake it after a waiting period of 30 days.

Are there any prerequisites or educational requirements to take the CPH Exam?

To take the CPH Exam, there are certain prerequisites and educational requirements that must be met.

Individuals must hold at least a bachelor’s degree from an accredited institution and have completed coursework in biostatistics, epidemiology, environmental health sciences, health policy and management, and social and behavioral sciences.

Additionally, applicants must have at least two years of relevant work experience in public health or a related field.

These requirements are in place to ensure that individuals taking the CPH Exam have a strong foundation in public health principles and are equipped with the necessary knowledge and skills to succeed in the field.

How often can the CPH Exam be retaken if someone fails it?

The CPH exam can be retaken if an individual fails it. The number of times the exam can be retaken varies by organization or regulatory agency that requires the exam.

Some organizations allow an individual to retake the exam an unlimited number of times, while others limit the number of attempts. It is important for individuals to review the policies and guidelines of the organization or regulatory agency that requires the exam to determine how many times the exam can be retaken.

Additionally, individuals should review their study materials and focus on areas where they may have struggled in previous attempts to improve their chances of passing the exam.

What is the average cost to take the CPH Exam?

The average cost to take the CPH exam varies depending on the organization administering the exam.

The National Board of Public Health Examiners charges $385 for the exam, with an additional $50 fee for international testing sites.

The Association of Schools and Programs of Public Health charges $465 for non-member students and $365 for member students.

The cost may also vary depending on whether the individual is taking the exam for the first time or retaking it.

It is important to note that these prices are subject to change and individuals should confirm the current cost with the organization administering the exam.


In conclusion, the CPH exam is an essential certification for anyone who wants to pursue a career in the securities industry. The exam covers critical topics such as professional conduct and ethics, regulatory requirements, and compliance practices, which are crucial knowledge areas for professionals in the industry.

Developing a study plan that includes reviewing all the key topics and practicing sample questions is crucial for success on the exam. Additionally, test-takers should be aware of the exam’s format and structure and utilize tips for exam day to ensure they are well-prepared.

Passing the CPH exam demonstrates a commitment to upholding professional standards and ethics in the securities industry. By mastering the content covered on the exam, professionals will be better equipped to handle client accounts and trading activity and ensure compliance with regulatory requirements.

Overall, the CPH exam is an essential step for anyone looking to pursue a successful career in the securities industry, and preparation is key to passing the exam and achieving professional success.

Table of Contents

More Study Guide

Study Guide