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Which of the following reports is least likely to be filed with the SEC？

A. Form 10-K
B. Annual report
C. Proxy statement

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Rodney Rodrigues, CFA, is responsible for identifying professionals to manage specific asset classes for his firm. In selecting external advisers or sub advisers, Rodrigues reviews the advisers invest

Adherence to strategy.
B. Performance measures
C. Internal control procedures.

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Bailey Watson, CFA manages 25 emerging market pension funds. He recently had the opportunity to buy 100,000 shares in a publicly listed company whose prospects are considered “above industry norm” by

A. Reducing each pension funds allocation proportionately.
B. Distributing them equally amongst all the pension fund portfolios
C. Allocating randomly but giving funds left out priority on the next similar type trade.

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An alternative investments fund that employs leverage and takes long and short positions in securities is most likely a:

A. Hedge fund.
B. Venture capital fund.
C. Leveraged buyout fund.

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All other things being equal, a decrease in expected yield volatility most likely increases the price of:

A putable bond.
B. A callable bond.
C. An option-free bond.

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Which of the following reports is least likely to be filed with the SEC？

A. Form 10-K B. Annual report C. Proxy statement

Rodney Rodrigues, CFA, is responsible for identifying professionals to manage specific asset classes for his firm. In selecting external advisers or sub advisers, Rodrigues reviews the advisers invest

Bailey Watson, CFA manages 25 emerging market pension funds. He recently had the opportunity to buy 100,000 shares in a publicly listed company whose prospects are considered “above industry norm” by

An alternative investments fund that employs leverage and takes long and short positions in securities is most likely a:

All other things being equal, a decrease in expected yield volatility most likely increases the price of:

A. Form 10-K
B. Annual report
C. Proxy statement