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发布时间:2024-01-24 06:45:11

[单项选择]When a CFA Institute member suspects a client or a colleague of planning or engaging in ongoing illegal activities, which of the statements about the actions that the member should take is most correct According to the CFA Institute Standards of Professional Conduct, the CFA Institute member should:()
A. consult counsel to determine the legality of the activity.
B. consult counsel to determine the legality of the activity and disassociate from any illegal or unethical activity if the member has reasonable grounds to believe that the activity is illegal or unethical.
C. ignore the suspected illegal activity unless the suspected party is a CFA Institute member.

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[填空题]There were 51 original member states when the UN was founded.
[单项选择]A money manager and member of CFA Institute is meeting with a prospect. She gives the client a list of stocks and says, "These are the winners I picked this past year for my clients. Their double-digit returns indicate the type of returns I can earn for you." The list includes stocks the manager had picked for her clients, and each stock has listed with it an accurately measured return that exceeds 10 percent. Is this a violation of Standard Ⅲ (D), Performance Presentation( )
A. Yes, because the manager cannot reveal historical returns of recent stock picks.
B. No, because the manager had the historical information in writing.
C. Yes, unless the positions listed constitute a complete presentation (i. e. there were no stocks omitted that did not perform in the double digits).
[单项选择]The client asks when he can stop taking the eye medication for his chronic open-angle glaucom( ).
A. Which would be the nurse’s best responseA. "You can stop using the eye drops when your vision improves. "
B. "You Need to use the eye drops only when you has symptoms. "
C. "You can discontinue the eye drops after 2 months of normal eye examinations. "
D. "You must use the eye medication for the rest of his life. "
[单项选择]When Jefferson Damon, CFA, joined NPSI Investing, NPSI began using a quantitative stock selection model that Damon had developed on his own personal time prior to his employment with NPSI. One year later when Damon left the firm, he found the original copy of the model that he had developed in a file at his home and presented it to his new employer, who immediately began using the model. According to the Standards of Practice Handbook, did Damon violate any CFA Institute Standards of Professional Conduct( )
A. No.
B. Yes, because he misappropriated property that now belonged to NPSI.
C. Yes, because he failed to inform his new employer that the model was the same one used by his previous employer.
[单项选择]A CFA Institute member puts the following statement on her resume: "I passed each level of the CFA exam on the first try." Is this a violation of Standard Ⅶ (B)()
A. No, because it is a statement of fact. 
B. Yes, because she incorrectly refers to the CFA exam. 
C. Yes, because saying she passed exams on the first try is not appropriate.
[单项选择]A financial analyst and CFA Institute member sends a preliminary research report on a company to his supervisor. The supervisor approves the report, but then the analyst receives news that causes him to revise downward the earnings estimate of the company. The analyst resubmits the report to the supervisor with the new earnings estimate. The analyst soon finds out that the supervisor plans to release the first version of the report with the first earnings estimate without a reasonable and adequate basis. In response to this the analyst must:()
A. only insist that the first report be followed up by a revision.
B. only take the issue up with regulatory authorities. 
C. insist that the supervisor change the earnings forecast or remove his (the analyst’s) name from the report.
[单项选择]When Peter Jiang, CFA, joined Brown Investing, Brown began using a quantitative stock selection model that Peter had developed on his own personal time prior to his employment with Brown. One year later when Peter left the firm, he found the original copy of the model that he had developed in a file at his home and presented it to his new employer, who immediately began using the model. According to the Standards of Practice Handbook, did Peter violate any CFA Institute Standards of professional Conduct()
A. No.
B. Yes, because he failed to act in Brown’s best interest.
C. Yes, because he misappropriated property that now belonged to Brown.
[单项选择]An analyst who is an CFA Institute member receives an invitation from a business associate’s firm to spend the weekend in a high-quality resort, in order to abide by the Standards, the analyst should (may):()
A. write a memo to his supervisor notifying the supervisor of the trip.
B. do all of the actions listed here.
C. accept if it is a client whose portfolio he manages.
[单项选择]If a CFA Institute member knows that a fellow employee has violated a law, according to Standard Ⅰ (A) the member must NOT do which of the following()
A. Report the employee violating the law to the appropriate supervisor in the firm.
B. Report the employee violating the law to the SEC.
C. Disassociate from the employee violating the law.
[单项选择]A stockbroker who is a CFA Institute member is called on the telephone by the CEO of a large company. The CEO asks to buy shares of the CEO’s company for the accounts of the CEO’s children. In the course of the conversation, the CEO says this will really pay off when the upcoming takeover goes through. The stockbroker checks her sources and finds no information about the takeover. In this ease the broker should:()
A. only execute the order in compliance with Standard Ⅲ (A), Loyalty, Prudence, and Care. Since the client is buying the stock for the children, there is not a problem.
B. execute the order for all clients as required by Standard Ⅲ (B), Fair Dealing.
C. do none of the actions listed here.
[单项选择]To check for arterial insufficiency when a client is in a supine position, the nurse should elevate the extremity at a 45-degree angle and then have the client sit up. The nurse suspects arterial insufficiency if the assessment reveals which of the following
A. Elevational rubor.
B. No rubor for 10 seconds after the maneuver.
C. Dependent pallor.
D. A 30-second filling time for the veins.
[单项选择]A CFO who is a CFA Institute member is careful to make his press releases-some of them containing material and previously undisclosed information——clear and understandable to his readers. While writing a new release, he often has his current intern proofread rough drafts. He also sends electronic copies to his brother, an English teacher, to get suggestions concerning style and grammar. With respect to Standard Ⅱ (A), Material Nonpublic Information, the CFO is: A. not in violation of the Standard. B. violating the standard by either showing the pre-release version to his intern or sending it to his brother. C. only in violation by showing the pre-release version to the intern but not to a relative such as his brother.
[单项选择]When assessing a client with partial thickness burns over 60% of the body, which of the following should the nurse report immediately()
A. Complaints of intense thirst.
B. Moderate to severe pain.
C. Urine output of 70 mL the 1st hour.
D. Hoarseness of the voice.
[单项选择]When preparing a client for a scheduled colonoscopy, which of the following nursing interventions would the nurse include
A. Inserting a nasogastric tube 12 hours before the procedure.
B. Cleansing the bowel with laxatives or enemas.
C. Administering an antibiotic to decrease the risk of infection.
D. Spraying a local anesthetic into the client’s throat to calm the gag reflex.
[单项选择]When instructing the client with severe burns about proper nutrition, the nurse would encourage him to eat which of the following meals
A. Chicken breast, salad, iced tea.
B. Roast beef sandwich, milkshake, cottage cheese.
C. Hamburger, orange, coffee.
D. Pasta salad, carrots, iced te
[单项选择]When caring for an adolescent client diagnosed with depression, the nurse should remember that depression manifests differently in adolescents and adults. In an adolescent, signs and symptoms of depression are likely to include which of the following( )
A. Helplessness, hopelessness, hypersomnolence, and anorexia.
B. Truancy, a change of friends, social withdrawal, and oppositional behavior.
C. Curfew breaking, stealing from family members, truancy, and oppositional behavior.
D. Hypersomnolence, obsession with body image, and valuing of peers’ opinions.

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