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AFP CTP Exam - Topic 2 Question 19 Discussion

Actual exam question for AFP's CTP exam
Question #: 19
Topic #: 2
[All CTP Questions]

A company has been a publicly traded company since 2001. Only 14% of the available stock is sold to the public and traded on the NYSE. The founding family retains control of 86% of the company. The audit committee consists of a CPA, an investment advisor, and two family members. In 2013, the CFO and CEO decided to change the director's code of conduct due to fraud attempts by one of the vice presidents. The vice president is still employed by the company as the stolen check stock was returned. What form is legally required to be filed by the company due to the code of conduct change?

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Suggested Answer: D

by Marguerita at Mar 08, 2026, 12:38 PM

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Idella
15 days ago
Wait, the VP is still employed? That's surprising!
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Skye
21 days ago
I agree, 8-K makes sense here.
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Ngoc
26 days ago
Definitely an 8-K filing needed for that code change.
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Luther
1 month ago
10-K would be too late for this kind of update, right?
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Deeanna
1 month ago
Not sure if an 8-K is enough for such a serious issue.
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Margarett
1 month ago
Wait, the VP is still employed? That’s surprising!
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Ellsworth
2 months ago
I agree, 8-K makes sense here.
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Slyvia
2 months ago
Definitely an 8-K filing needed for that code of conduct change.
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Eliz
2 months ago
I feel like the 8300 is about cash transactions over $10,000, so that doesn't seem right. I lean towards 8-K too, but I'm not completely confident.
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Glynda
2 months ago
I practiced a similar question where a company had to report a significant event, and I think it was definitely an 8-K.
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Jaime
2 months ago
I'm not entirely sure, but I remember something about 10-K being more about annual reports. Could it be 10-Q instead?
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Aimee
2 months ago
I think the answer might be 8-K since it relates to significant events that shareholders should know about, like changes in the code of conduct.
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