Q16. With respect to how Jackson allocated the shares in the IPO of the technology company, has Jackson acted in accordance with the Code and Standards? A) Yes, Jackson allocated the shares of the offering fairly on a pro rata basis to all client accounts. B) No, Jackson has violated Standard III(C) Suitability. C) No, Jackson has violated Standard VI(B) Priority of Transactions.
Q17. Given Brunswick’s current ownership in New Medical, the Code and Standards require Jackson to: A) trade the shares in client accounts before any accounts for himself, family or friends. B) not take any investment action but communicate the information to other members of the proxy committee in preparation for consideration. C) not initiate any investment action prior to the information being publicly disseminated.
Q18. Given Watson’s actions, all of the following are most likely violations of the Code and Standards EXCEPT: A) Standard III(A) – Loyalty, Prudence, and Care. B) Standard I (A) – Knowledge of the Law. C) Standard III(E) – Preservation of Confidentiality.
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发表于 2009-1-7 09:01
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