题目内容

While at a bar in the financial district after work, Ellen Miffitt, CFA overhears several employees of a competitor discuss how they will manipulate down the price of a thinly traded micro cap stocks

A. Market Manipulation
B. Preservation of Confidentiality
C. Material Non Public Information

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The tools used by the U.S. Federal Reserve system （the Fed） to implement monetary policy most likely include:

A. Transfer payments
B. Open market operations.
C. Raising or lowering income taxes

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A fund that calculates net asset value by subtracting liabilities from assets and dividing the result by a fixed number of shares is most likely:

A hedge fund.
B. An open-end mutual fund.
C. A closed-end mutual fund.

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Diana Fairbanks, CFA is married to an auditor who is employed at a large accounting firm. When her husband mentions a computer firm he audits will receive a qualified opinion she thinks nothing of it.

A. Take no investment action.
B. Complete a thorough and diligent analysis of the company and then sell the stock.
C. Sell the stock immediately as she has a reasonable basis for taking this investment action.

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Sergio Morales, CFA believes he has found evidence his supervisor is engaged in fraudulent activity concerning a clients account. When Morales confronts his supervisor, he is told the client is fully

A. Duties to Clients
B. Duties to Employers
Communication with Clients

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While at a bar in the financial district after work, Ellen Miffitt, CFA overhears several employees of a competitor discuss how they will manipulate down the price of a thinly traded micro cap stocks

A. Market Manipulation B. Preservation of Confidentiality C. Material Non Public Information

The tools used by the U.S. Federal Reserve system （the Fed） to implement monetary policy most likely include:

A fund that calculates net asset value by subtracting liabilities from assets and dividing the result by a fixed number of shares is most likely:

Diana Fairbanks, CFA is married to an auditor who is employed at a large accounting firm. When her husband mentions a computer firm he audits will receive a qualified opinion she thinks nothing of it.

Sergio Morales, CFA believes he has found evidence his supervisor is engaged in fraudulent activity concerning a clients account. When Morales confronts his supervisor, he is told the client is fully

A. Market Manipulation
B. Preservation of Confidentiality
C. Material Non Public Information