Q2. Which item on the list, if completed by Tully, would most likely be a violation of the Code and Standards? A) #5. B) #3. C) #4.
Q3. For goal #2, in defining “material nonpublic information,” the term "material" refers to information that is likely to significantly affect the market price of the issuing company's securities or that is: A) likely to preclude the financial analyst or analyst's firm from rendering unbiased or objective advice. B) acquired by the financial analyst from a special or confidential relationship with the issuing company. C) likely to be considered important by reasonable investors in determining whether to trade a particular security.
Q4. The following applies to goal #6. If some of the available brokers are offering soft dollars that are only of general benefit to Bonn, Tully should recommend that Bonn should choose the broker with which of the following characteristics: A) good price and execution and low soft dollars. B) best price and execution but no soft dollars. C) good price and execution and good soft dollars.
Q5. MIB Management has: A) violated the Code and Standards by allowing the value of the Gold Fund to decline, but not by not rebalancing it. B) not violated the Code and Standards by allowing the value of the Gold Fund to decline, but did violate the Code and Standards by not by rebalancing it. C) not violated the Code and Standards by allowing the value of the Gold Fund to decline, nor by not rebalancing it.
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发表于 2009-1-7 09:18
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