更多"Michael Robe, CFA, is a junior anal"的相关试题:
[单项选择]Michael Malone, CFA, is an investment analyst for a large brokerage firm in New York who covers the airlines industry. Alter hours in his personal time, Malone maintains an online blog on which he expresses his personal opinions about various investment opportunities, including, but not limited to, the airlines industry. On his blog, he posts a very negative investment opinion about WestAir stock. Malone knows that WestAir’s stock will be downgraded to a "sell" by his firm next week. Malone has:（）
A. violated Standard Ⅵ (B) Priority of Transactions by releasing material information to the public before releasing to the firm’s clients.
B. violated Standard Ⅱ (A) Material Nonpublic Information by releasing material that could negatively impact the price of the security.
C. violated Standard Ⅳ (A) Loyalty by divulging confidential information that is the intellectual property of his employer.
[单项选择]Karen Wilson, CFA, supervises eight junior analysts at Spartan Financial Services. Karen suspects that one of the analysts is violating Spartan’s personal investing policy. According to the Standards of Practice Handbook, Karen’s most appropriate initial action is to:（）
A. initiate an investigation.
B. notify her supervisor of the analyst’s suspected misconduct.
C. require the analyst to liquidate and close all personal accounts.
[单项选择]Gloria Arraria, CFA, is a stock analyst at a large multinational bank trust department. A cash tender offer was announced by a company whose stock was held by Arraria’s employer as well as by her sister. Under the terms of the offer, the first million shares tendered would be accepted in full at $45 a share (which was 15% above the existing market) and the next one million shares on a pro rate basis also at $ 45 a share. Arratia immediately called her sister with the news but waited a few days to tender holdings of the trust department. This situation violated Standard:（）
A. Ⅰ (B)Independence and Objectivity.
B. Ⅵ (B) Priority of Transactions.
C. Ⅳ (A) Loyalty.
[单项选择]Behind his large smiles and large cigars, his eyes often seemed to（）regret.
A. teem with
B. brim with
C. come with
D. look with
[单项选择]CFA协会的前身（）。
A. ASFA
B. AIMR
C. EFFAS
D. FLAAF
[单项选择]According to CFA Institute Standards of Professional Conduct, members should do all of the following to meet the compliance procedures for having a reasonable basis for recommendations, EXCEPT:（）
A. distribute a detailed, written research report to clients with each recommendation.
B. analyze the client’s investment needs.
C. maintain files to support investment recommendations.
[判断题]CFA协会是一家全球营利性专业机构，负责在全世界管理CFA(特许金融分析师)课程和考核项目，并为投资业制定专业行为操守和投资表现报告准则。( )
[单项选择]CFA证书由CFA协会授予，其获得者须为直接参与投资决策过程的各类人员，并且还必须具备（）年相关工作经验。
A. 3
B. 5
C. 8
D. 10
[单项选择]Junior economists Diane Foreman and Les Harlan are discussing the concepts of aggregate hours and real wage rates and how they relate to real GDP. They state the following: Foreman: Aggregate hours are a more accurate measure of total labor input than the number of people employed. Aggregate hours tend to be positively correlated with real GDP growth. Harlan: Real wage rates have not increased as much over time as the productivity of labor, but that is largely because a greater share of labor compensation now comes in the form of employer-paid benefits. Are Foreman and Harlan correct Foreman Harlan（）①A. Correct Correct ②B. Correct Incorrect ③C. Incorrect Correct
A. ①
B. ②
C. ③
[单项选择]Which of the following statements regarding CFA Institute Global Investment Performance Standards (GIPS) is TRUE A firm that employs members of CFA Institute:（）
A. must comply with the GIPS only within the United States.
B. is not required to conform to the GIPS.
C. must choose to comply with either the Performance Presentation Standards (PPS) or GIPS.
[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.
[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]Many people prefer large cars, ______ large cars are safer than small ones.
[A] think [B] to think [C] having thought [D] thinking
[填空题]When were the Junior Red Cross Sections first formed
[填空题]
When were the junior Red Cross Sections first formed
