Q6. With regard to the Chandler portfolio, Lindquist violated: A) Standard III(C): Suitability, but not Standard III(A): Loyalty, Prudence, and Care. B) neither Standard III(C): Suitability, nor Standard III(A): Loyalty, Prudence, and Care. C) Standard III(A): Loyalty, Prudence, and Care, but not Standard I(D): Misconduct.
Q7. With regard to Lindquist’s seat on the board of Western Inns, he violated: A) no standards. B) Standard VI(A): Disclosure of Conflicts, but not Standard IV(B): Additional Compensation Arrangements. C) Standard VI(A): Disclosure of Conflicts, and Standard IV(B): Additional Compensation Arrangements.
Q8. Which of the following standards is not violated in Lindquist’s version of the Midwestern model? A) Standard I(C): Misrepresentation. B) Standard V(A): Diligence and Reasonable Basis. C) Standard IV(C): Responsibilities of Supervisors.
| 
发表于 2009-1-12 16:50
| 
