[单项选择]Based on CFA Institute Standards of Professional Conduct, which of the following statements is a violation of Standard Ⅰ (C), Misrepresentation（）
A. A young trainee bond trader tells a prospective client that she can assist the client in all the client’s investment needs: equity, fixed income, and derivatives and based on her years of experience as an analyst in the business that an investment looks like it has lots of potential.
B. A trust officer recommends lengthening the average maturity of a bond portfolio because she believes long-term interest rates will decline over the next few months.
C. An investment manager recommends to a prospective client an investment in GNMA bonds because they are guaranteed by the federal government.

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[单项选择]The CFA Institute Professional Conduct Program is covered by the CFA Institute Bylaws and the Rules of Procedure for Proceedings related to Professional Conduct Program. The program is based on the principles of fair process to the:（）
A. member's clients and confidentiality of sanctions.
B. member and confidentiality of sanctions.
C. member and confidentiality of proceedings.

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[单项选择]The CFA Institute Standards of Practice Handbook requires CFA Institute members to do all the following EXCEPT:（）
A. to inform employer, clients, and potential clients of benefits received for recommending products or services.
B. receive written permission from both their employer and outside clients to engage in investment consulting outside the firm.
C. to disclose in writing to the proper regulatory authority all observed violations of the securities laws and regulations.

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[单项选择]Based on the AIMR Standards of Professional Conduct, which of the following statements is least likely to be a violation of Standard Ⅲ(D) , Prohibition against Misrepresentation（）
A. An analyst tells a prospective client that investment grade bonds involve less default risk than junk bonds.
B. A bond trader tells a client that he can assist the client in all the client’s investment needs: equity, fixed income, and derivatives.
C. An investment manager recommends to a prospective client an investment in mortgage IO strips because they are guaranteed by an agency of the federal government.

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[单项选择]Passage Three
Questions 32 to 35 are based on the conversation you have just heard.
A. Her happiness to be alive.
B. Her happiness to be close to nature.
C. Her optimism about how much knowledge she can gain.
D. Her optimism about the future of mankind.

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[单项选择]Passage One Questions 16 to 18 are based on the conversation you have just heard.
A. They should make sure their children are always punctual for school.
B. They should ensure their children grow up in a healthy environment.
C. They should help their children accomplish high-quality work.
D. They should see to it that their children have adequate sleep.

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