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发布时间:2024-01-27 00:24:17

[单项选择]An analyst meets with a new client. During the meeting, the analyst sees that the new client’s portfolio is heavily invested in one over-the-counter stock. The analyst has been following the stock and thinks it will perform well in the long run. The analyst arranges through a brokerage firm to simultaneously sell a large number of shares of the stock via a series of cross trades from the new client’s portfolio to various existing clients. He arranges the trades to be executed at a price that approximates the current market price. This action is:()
A. not in violation of the Standards.
B. a violation of Standard Ⅲ (A), Loyalty, Prudence, and Care.
C. a violation of Standard Ⅲ (B), Fair Dealing.

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