Hi in Q6 they ask about the "Partners claims for compliance"
I put B, because of the definition of research. My understanding is that all research, proprietary and third party, counts as research. They distinguish between them.
The answer is C, because of the definition of soft-dollar arrangements. As far as I can tell, they are saying that soft dollars come from agency and principal trades, which is fine.
Did this mess anyone else up? |
发表于 2011-7-13 14:54
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