Which of the following is not required under the CFA Institute Standards of Professional Conduct?
A) Knowledge of all applicable laws, rules, and regulations
B) Disclosure of all personal investments, whether or not they may conflict with a client's investments
C) Disclosure of all conflicts to clients and prospects
D) Reasonable inquiry into a client's financial situation
Correct Answer:
Verified
Q41: Assume you sell short 1,000 shares of
Q43: You purchased 1000 shares of CSCO common
Q46: Assume you sold short 100 shares of
Q48: You sold short 150 shares of common
Q59: Which of the following is true regarding
Q60: You purchased 100 shares of XON common
Q61: According to the CFA Institute Standards of
Q63: An explicit trading cost is
A)commission
B)Execution cost
C)Bid-ask spread
D)Annual
Q64: Bonds are traded
A)on exchanges
B)Over-the counter
C)On a venture
Q65: The preliminary prospectus is referred to as
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