[单项选择]Alex Burl is an investment advisor at Helpful Investments, a local investment advisory firm. Helpful Investments requires its employees to invest in the same stocks which Helpful Investments recommends to its clients. Helpful Investments also has established strict procedures determining when trades can be executed in its employees' own portfolios to avoid any conflict of interests with its clients. This procedure is most likely in place to help Burl avoid violations of the Standards of Professional Conduct relating to:（）
A. only material non-public information.
B. only priority of transactions.
C. both independence and material non-public information.

[单项选择]Doroth Kelly, a investment advisor, enrolled to take the Level m CFA examination in 2004; however, he did not take the exam. When her employer asked her about her status in the CFA program, Kelly advised her employer that she was confident that she passed Level Ⅲ and would become the CFA charter holder soon. Did Kelly violate the CFA Institute’s Standards of Professional Conduct relating to professional misconduct and duty to employer, respectively Professional misconduct duty to employer（　）
A. No No
B. No Yes
C. Yes No

[单项选择]Louis Perkowski, CFA, is an investment advisor for institutional clients in Sarkozi Securities. To comply with the Standards of Professional Conduct relating to diligence and reasonable basis, when selecting external advisors, Perkowski must:（）
A. ensure that Sarkozi Securities has standardized criteria for reviewing external advisors.
B. ensure that the external advisors have the lowest management fee relative to others.
C. ensure that the external advisors have the best historical performance relative to others.

[单项选择]Caleb Smith, CFA, is an investment advisor and manages the portfolios of several high-net-worth individuals. To comply with the Standards of Professional Conduct relating to suitability, at the inception of the client relationship, Smith must :（）
A. gather client information including the client's financial circumstances, personal data that are relevant to investment decisions, attitudes towards risk, and objectives in investing.
B. invest in a manner consistent with the stated mandate.
C. consider the possibilities of rapidly changing investment environments and their likely impact on a client's holdings.

[单项选择]Which of the following belongs to traditional investment


A. Corporate bonds and buying stock on margin.
B. Preferred stock and selling short.
C. Government bonds and common stock.
D. Trading in commodities and options.

[单项选择]What accounts for the great outburst of major inventions in early America―breakthroughs such as the telegraph ,the steamboat and the weaving machine 　　Among the many shaping factors, I would single out the country’s excellent elementary schools; a labor force that welcomed the new technology ;the practice of giving premiums to inventors; and above all the American genius for nonverbal," spatial" thinking about things technological. 　　Why mention the elementary schools Because thanks to these schools our early mechanic, especially in the New England and Middle Atlantic states, were generally literate and at home in arithmetic and in some aspects of geometry and trigonometry. 　　Acute foreign observers related American adaptiveness and inventiveness to this educational advantage. As a member of a British commission visiting here in 1853 reported," With a mind prepared by thorough school discipline ,the American boy develops rapidly into the skilled workman." 　　A further stimulus to in
A. elementary schools
B. enthusiastic workers
C. the attractive premium system
D. a special way of thinking

[单项选择]The board of directors have decided that more investment in this project is out of the question.
A. 董事会决定在这个项目上进一步投资，这是毫无疑问的。
B. 是否在这个项目上投资这一问题应由董事会来决定。
C. 董事会决定暂不讨论在这一项目上的投资问题。
D. 董事会已经决定不可能再在这个项目上进行投资。

[单项选择]ZhongYi Xie, CFA, a portfolio manager for PIA Investments, plans to manage the portfolios of several family members in exchange for a percentage of each portfolio’ s profits. As his family members have requested that ZhongYi Xie provide the services outside his employment with PIA, he notifies his employer in writing of his prospective outside employment. Two weeks later, ZhongYi Xie has received no response from his employer and begins managing the family members’ portfolios. By managing these portfolios, did ZhongYi Xie violate any CFA Institute Standards of Professional Conduct（）
A. No.
B. Yes, because he failed to obtain written consent from his employer.
C. Yes, because he failed to disclose the outside employment to his existing clients.

[单项选择]Emilie Rome. CFA, is a stock broker in Miller investment consulting firm. Charlotte Everett, one of Rome's clients is a retiree living on income from her pension plan with below-average risk tolerance. Everett asks Rome to buy a structured product consisting of call and put stock options. Rome tells Everett that the product has significantly high risk and low income. However, Everett still confirms the order, and Rome executes the trade. Has Davis most likely violated the Standards of Professional Conduct
A. No.
B. Yes, relating to suitability.
C. Yes, relating to loyalty, prudence, and care.

[单项选择]In the present .economic ______ we can safely invest our money into the stock and bond .market.
A. air
B. mood
C. condition
D. climate

[单项选择]Stress can be either helpful or harmful depending on ______.


A. how a person deals with stress
B. what kind of stress it is
C. whether the stress can lead to emotional, intellectual, or physical disorder
D. how much exercise you do

[填空题]What element is quite helpful in preventing a place from getting warmer in higher latitudes

[单项选择]How many kinds of insects are helpful to people

[简答题]She has never and cannot be helpful to this project.

[单项选择]Does Mark think it is helpful to learn new languages with a knowledge of languages in that family
A. No, he thinks it always causes confusion.
B. Yes, it is helpful but sometimes he mixes them in use.
C. Yes, he says the more languages he knows, the more new languages he can learn.

[单项选择]She （　） crying very helpful to express her sadness.
A. considers
B. Confirms
C. believes
D. pretends