Without referring to your notes... (Ethics) determine, standards, referring, concerning

BC_MBA_student

1. Safe Harbor was created:

a) 1965
b) 1975
c) 1976

2. Is this a fundamental principle of the soft dollar standards?

Uniform disclosure and record keeping concerning soft dollar arrangements.

3. True or False?

The three level analysis to determine whether a product is permissible research is:

Step 1. Define the product or service.
Step 2. Mixed use analysis.
Step 3. Determine usage.