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Neiman Investment Co. receives brokerage business from Pick Asset Management in exchange for referring prospective clients to Pick. Pick advises clients--in writing, at the time the relationship is es

A. Complied with the Code and Standards.
B. Violated the Code and Standards by failing to preserve the confidentiality of the agreement with Neiman.
C. Violated the Code and Standards by participating in an agreement that creates a conflict of interest.

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Josef Karloff, CFA, acts as liaison between Pinnacle Financial （an investment management firm） and Summit Inc．（an investment banking boutique specializing in penny stocks）．When Summit underwrites an I

A. Fair dealing
B. Nonpublic information
C. misconduct

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Will Hunter, CFA, is a portfolio manager at NV Asset Managers. An investment banker asks Hunter to purchase shares in a new IPO to support the price long enough for insiders to liquidate their holding

A. Not violate the Code and Standards
B. Violate the Standard concerning market manipulation
C. Violate the Standard concerning priority of transactions

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Steve Matthews, CFA, is a principal at Carlson Brothers, a leading regional investment bank specializing in initial public offerings of small to mid-sized biotech firms. Just before many of the IPOs a

Additional compensation
B. Disclosure of conflicts of interest
C. Fair dealing

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Zanuatu, an island nation, does not have any regulations precluding the use of nonpublic information. Alfredo Romero has a friend and fellow CFA charterholder there, Donna Gordon, with whom he has sha

A. Trade on the information under the laws of Zanuatu,which govern her behavior.
B. Not trade on the information under CFA Institute Standards,which govern her behavior.
C. Trade on the information under CFA Institute Standards since the firms concerned are outside Romeros industry.

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Neiman Investment Co. receives brokerage business from Pick Asset Management in exchange for referring prospective clients to Pick. Pick advises clients--in writing, at the time the relationship is es

A. Complied with the Code and Standards. B. Violated the Code and Standards by failing to preserve the confidentiality of the agreement with Neiman. C. Violated the Code and Standards by participating in an agreement that creates a conflict of interest.

Josef Karloff, CFA, acts as liaison between Pinnacle Financial （an investment management firm） and Summit Inc．（an investment banking boutique specializing in penny stocks）．When Summit underwrites an I

Will Hunter, CFA, is a portfolio manager at NV Asset Managers. An investment banker asks Hunter to purchase shares in a new IPO to support the price long enough for insiders to liquidate their holding

Steve Matthews, CFA, is a principal at Carlson Brothers, a leading regional investment bank specializing in initial public offerings of small to mid-sized biotech firms. Just before many of the IPOs a

Zanuatu, an island nation, does not have any regulations precluding the use of nonpublic information. Alfredo Romero has a friend and fellow CFA charterholder there, Donna Gordon, with whom he has sha

A. Complied with the Code and Standards.
B. Violated the Code and Standards by failing to preserve the confidentiality of the agreement with Neiman.
C. Violated the Code and Standards by participating in an agreement that creates a conflict of interest.