Q2. Which of the following statements regarding the research report on Sunrise Technologies after the company went public is TRUE? A) Jones has violated the Standard on research reports because she failed to distinguish between fact and opinion; Karloff is in compliance with the supervisory-responsibilities Standard because he is keeping up with Jones’ actions and ensuring her report is accurate. B) Jones has violated the misrepresentation Standard with her aggressive growth prediction for Sunrise Technologies; Karloff has violated the plagiarism Standard by disseminating information he received in confidence. C) Jones is in compliance with the objectivity Standard because she made her recommendation based facts, not conjecture; Karloff has violated the Standard regarding the use of material nonpublic information.
Q3. According to CFA Institute Standards concerning fair dealing, Jones is required to do which of the following? A) Ensure that accounts belonging to her immediate family purchase securities only after other clients have had the chance to buy. B) Disseminate new investment recommendations to all clients at the same time. C) Disclose to all clients whether different levels of service are offered.
Q4. Which of the following statements could Brown put on his resume without violating Standard VII(B): Reference to CFA Institute, the CFA Designation, and the CFA Program? A) If I pass the Level III test, I may be eligible for my CFA charter late next year. B) I am a Level III CFA and should become a chartered financial analyst next year. C) I am a Level III CFA candidate eligible to receive my charter in November 2005.
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发表于 2009-1-12 17:01
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