FROM "TRADING ON SCARCITY," PAGE 40:

1. In April, Morningstar reclassified the Gabelli SRI Green Fund as what type?

A. World stock fund

B. Domestic stock fund

C. World alternative

D. Domestic alternative

FROM "FILED AWAY," PAGE 43:

2. How many states have adopted the Uniform Disposition of Community Property Rights at Death Act?

A. 10

B. 20

C. More than a dozen

D. 35

FROM "PRE-PLANNING ADVICE," PAGE 111:

3. One way to guide client cash flow is to identify __ to __ categories where spending gets out of control easily.

A. One to three

B. Two to four

C. Five to six

D. Eight to 10

FROM "HARD LESSONS," PAGE 115:

4. An _____ is not counted in the Free Application for Federal Student Aid methodology.

A. Individual retirement account

B. International equity fund

C. End-of-year bonus

D. Annuity

FROM "PREPARING FOR THE WORST," PAGE 119:

5. What savings reserve is proper for a two-income, straight-salary household where the spouses' salaries are not correlated?

A. Two years

B. 18 months

C. One year

D. Six months

FROM "BASIS TRAINING," PAGE 125:

6. The new cost basis reporting rules will apply to ____ in 2011.

A. Stock sales

B. Mutual funds, ETFs and dividend reinvestment plans

C. Bonds

D. Options

7. Current law allows couples filing jointly to report up to ___ of taxable income and owe nothing on long-term capital gains and qualified dividends.

A. $34,500

B. $69,000

C. $43,500

D. $87,000

FROM "THE REBALANCING PREMIUM," PAGE 129:

8. In a portfolio comprising 60% VTSMX and 40% VBMFX, bond funds with a higher correlation to stock funds tend to have a ___ rebalancing premium.

A. Flat

B. Larger

C. Smaller

D. Identical

FROM "PRICE CONTROLS," PAGE 135:

9. According to Ibbotson Associates, the peak period of recent inflation occurred from 1973 through 1981, when prices rose by ___ a year.

A. 8.2%

B. 9.2%

C. 7.2%

D. 10%

FROM "COSTLY HARVEST," PAGE 141:

10. Post-liquidation is the value of the portfolio if all the long-term gains were liquidated.

A. True

B. False