Q23. Which of the following statements about Rangen's conduct is TRUE? Rangen's conduct: A) does not meet the requirements of the Code and Standards because his investment strategy is inconsistent with his clients' objectives. B) meets the requirements of the Code and Standards because his firm's research department recommended the U.S. Treasury strips and non-dividend paying stocks. C) meets the requirements of the Code and Standards because his clients are aware of the risks that he is taking in managing their accounts.
Q24. An analyst thinks that a major change in the tax law will benefit holders of utility company stocks. She immediately begins calling all her clients and telling them of the upside potential of investing in such assets now. Based upon this information, this is most likely: A) a violation of Standard V(A), Diligence and Reasonable Basis. B) congruent with Standard V(A), Diligence and Reasonable Basis. C) a violation of Standard III(C), Suitability.
[此贴子已经被作者于2009-1-9 15:56:58编辑过] | 
发表于 2009-1-8 15:38
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