what are preferred trading and limited offerings? allocation, position, limited, benefit, through

joehogue

Here is the exact context under Standard VI(B):

Members and candidates should not benefit from the position that their clients occupy in the marketplace—through preferred trading, the allocation of limited offerings, and/or oversubscription
(Level III Volume 1 Ethical and Professional Standards , 4th Edition. Pearson Learning Solutions p. 133).



Edited 1 time(s). Last edit at Wednesday, February 9, 2011 at 07:29PM by travel_cfa.