Q3. With regards to the Flimflam stock, the Code was: A) not broken. B) broken when Jung purchased Flimflam shares for herself, but not when she purchased the shares for Yeats or when Yeats tipped her off about Flimflam. C) broken when Jung purchased Flimflam for herself, and when she purchased Flimflam for Yeats, but not when Yeats tipped her off about Flimflam.
Q4. With regards to Babel Brokerage, Westmoreland Financial: A) can comply with the Code only if it receives permission from clients. B) can comply with the Code only if it switches a different brokerage. C) is in compliance with the Code.
Q5. How many items on Westmoreland’s disclosure policy are insufficient to satisfy the Code? A) 3. B) 1. C) 2.
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发表于 2009-1-7 09:47
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