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Colin Caldwell, CFA, is the chief investment officer of Northwest Mutual Fund, whose investment objective is to invest in fixed income emerging market securities. Caldwell allocates the funds assets p

A. diversification.
B. Communication with clients.
C. Investments outside his mandate.

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Oliver Opdyke, CFA, works for an independent research organization that does not manage any client money. In the course of his analysis of Red Ribbon Mining he hears rumors the president of Red Ribbon

A. Immediately publish a sell recommendation for Red Ribbon Mining.
B. Confirm the presidents diagnosis before publishing his research report.
C. Encourage Red Ribbon Mining management to disclose the presidents medical condition.

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Which of the following is least likely an aggregation vehicle for real estate ownership？

A. Leveraged equity rights
B. Real estate investment trusts （REITs）
C. Real estate limited partnerships （RELPs）

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The index weighting that results in portfolio weights shifting away from securities that have increased in relative value （e,g,, decrease in book-to-market） toward securities that have fallen in relat

A. Equal weighting.
B. Fundamental weighting.
C. float-adjusted market-capitalization weighting.

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Compared with investment in an open-ended index mutual fund, which of these is least likely a benefit to an investor in an index exchange traded fund （ETF） on the same index？

A. Lower bid-ask spreads
B. Managing the timing of capital gains
C. Ability to sell short and buy on margin

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Colin Caldwell, CFA, is the chief investment officer of Northwest Mutual Fund, whose investment objective is to invest in fixed income emerging market securities. Caldwell allocates the funds assets p

A. diversification. B. Communication with clients. C. Investments outside his mandate.

Oliver Opdyke, CFA, works for an independent research organization that does not manage any client money. In the course of his analysis of Red Ribbon Mining he hears rumors the president of Red Ribbon

Which of the following is least likely an aggregation vehicle for real estate ownership？

The index weighting that results in portfolio weights shifting away from securities that have increased in relative value （e,g,, decrease in book-to-market） toward securities that have fallen in relat

Compared with investment in an open-ended index mutual fund, which of these is least likely a benefit to an investor in an index exchange traded fund （ETF） on the same index？

A. diversification.
B. Communication with clients.
C. Investments outside his mandate.