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Ken Kawasaki, CFA shares a building with a number of other professionals who are also involved in the investment management business. Kawasaki makes arrangements with several of these professionals, i

A. No.
B. Yes,related to referral fees
C. Yes,related to communication with clients

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The most direct disadvantage of investing in a callable security relative to an otherwise identical option-free security is:

A. Increased default risk.
B. Lower interest payments.
C. Decreased price appreciation potential.

Bryan Barrett, CFA has an investment advisory service providing advice on gold and other commodities to several large retail banks. Barrett advertises his services in widely read publications to broad

A. No.
B. Yes,related to Misrepresentation
C. Yes,related to Communication with Clients

A commodity market is in contango when futures prices are:

A. Lower than the spot price
B. Higher than the spot price.
C. The same as the spot price

A fund manager is compensated with a base management fee plus an incentive fee proportional to the funds return above a benchmark. This best describes the fee structure of:

A hedge fund.
B. A mutual fund.
C. An exchange traded fund