更多"Level I CFA candidate Adeline Bass "的相关试题:
[单项选择]Frank Jones passed the Level I CFA examination in 2008 and the Level Ⅱ examination in 2009. He is currently enrolled for the Level Ⅲ examination. According to the CFA Institute Standards of Professional Conduct, which of the following is the most appropriate way for Jones to refer to his participation in the CFA program（ ）
A. Frank Jones, CFA Level Ⅱ
B. Candidate in the CFA Institute CFA program.
C. Passed Level Ⅱ of the CFA examination in 2009.
[单项选择]David Schmidt enrolled to take the Level Ⅱ CFA examination in the current year; however, he did not take the exam. Subsequently, he registered to take the level Ⅱ exam the next year. Schmidt informed his employer that he passed Level Ⅱ. Which CFA Institute Standard of Professional Conduct did Schmidt most likely violate（）
A. Duties to employer.
B. Professional misconduct.
C. Referencing candidacy in the CFA program.
[单项选择]A stockbroker who is a member of CFA Institute has a part - time housekeeper who also works for the CEO of Festival, Inc. One day the housekeeper mentions to the broker that she saw the CEO of Festival having a conversation at his home with John Tater, who is a nationally known corporate lawyer and consultant. The stockbroker is restricted from trading on this information:（）
A. if the housekeeper says the meeting concerned a tender offer and the broker knows that it is non - public information.
B. only if the broker knows that the meeting is non -public information.
C. if the broker is friends with the CEO of Festival.
[单项选择]A money manager, who is a member of CFA Institute, suggests during phone calls to his clients that, "I hope you will relay to your friends the great returns I earned for you this past year. " The manager had generated above average returns in the past year. Is this a violation of Standard Ⅲ (D) , Performance Presentation（）
A. Yes, because the Standard forbids members asking their clients to say anything about how well the member has done.
B. No, because the request was made orally and not in writing.
C. Yes, because the intended message fails the test of completeness as required under the standard.
[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]Steve Waters, a CFA Level I candidate, has decided to enter into a long position of Farmco stock. Since Farmco is thinly traded, Waters is concerned the order will overwhelm the liquidity of Farmco and the price will surge. Waters engages in a series of block trades in order to accomplish the purchase. According to Standard Ⅱ (B) , Market Manipulation, Waters has engaged in:（）
A. neither transaction - based manipulation nor information - based manipulation.
B. transaction - based manipulation, but not information - based manipulation.
C. both transaction - based manipulation and information - based manipulation.
[单项选择]Brian Bellow, a CFA Institute member, is a portfolio manager for Progressive Trust Company. Several friends asked Bellow to review their investment portfolios. On his own time, Bellow examined their portfolios and made several recommendations. He received no monetary compensation from his friends for his investment advice and provided no future investment counsel to them. According to CFA Institute Standards of Professional Conduct, did Bellow violate his duty to Progressive Trust（）
A. No, because Bellow provided no ongoing investment advice.
B. No, because Bellow provided investment advice to his friends.
C. Yes, because he undertook an independent practice that could result in compensation or other benefit to him.
[单项选择]An analyst, who is a CFA Institute member, manages a high-grade bond mutual fund. This is his only professional responsibility. When the analyst comes across a speculative stock investment that he feels is a good investment for his personal portfolio, the analyst:（）
A. may invest in the stock because the analyst would not purchase the stock for the bond portfolio he manages.
B. may not invest in the stock because of his position as a portfolio manager.
C. is in violation of Standard Ⅳ (A), Loyalty to Employer, by spending time analyzing stocks when he should only analyze bonds.
[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]
Stress level Tied to Education Level
People with less education suffer fewer stressful days, according to a report in the current issue of the Journal of Health and Social Behavior.
However, the study also found that when less-educated people did suffer stress it was more severe and had a larger impact on their health.
From this, researchers have concluded that the day-to-day factors that cause stress are not random. Where you are in society determines the kinds of problems that you have each day, and how well you will cope with them.
The research team interviewed a national sample of 1,031 adults daily for eight days about their stress level and health. People without a high school diploma reported stress on 30 percent of the study days, people with a high school degree reported stress 38 percent of the time, and people with college degrees reported stress 44 percent of the time.
"Less advantaged people are
A. family size
B. social status
C. body weight
D. work experience
[单项选择]
Stress Level Tied to Education Level
People with less education suffer fewer stressful days, according to a report in the current issue of the Journal of Health and Social Behavior.
However, the study also found that when less-educated people did suffer stress it was more severe and had a larger impact on their health.
From this, researchers have concluded that the day-to-day factors that cause stress are not random. Where you are in society determines the kinds of problems that you have each day, and how well you will cope with them.
The research team interviewed a national sample of 1,031 adults daily for eight days about their stress level and health. People without a high school diploma reported stress on 30 percent of the study days, people with a high school degree reported stress 38 percent of the time, and people with college degrees reported stress 44 percent of the time.
"Less advantaged people are less healthy on a daily bas
A. on a daily basis for 8 days.
B. during one of eight days.
C. all by Grzywacz.
D. in groups.
