标题: Without referring to your notes... (Ethics) [打印本页]

---

作者: BC_MBA_student    时间: 2011-7-11 19:32     标题: 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.

---

作者: chandsingh    时间: 2011-7-11 19:32

1. B
2. Yes
3. False. Step 3 comes before step 2.

NO EXCUSES

---

欢迎光临 CFA论坛 (http://forum.theanalystspace.com/)

Powered by Discuz! 7.2