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Without referring to your notes... (Ethics)
1. Safe Harbor was created:
a) 1965
b) 1975
c) 1976
2. Is this a fundamental principle of the soft dollar standards?
Uniform disclosure and record keeping concerning soft dollar arrangements.
3. True or False?
The three level analysis to determine whether a product is permissible research is:
Step 1. Define the product or service.
Step 2. Mixed use analysis.
Step 3. Determine usage. |
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发表于 2011-7-11 19:32
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