Chap 5 (done)
Quiz
•
English
•
12th Grade
•
Practice Problem
•
Medium
K62.FTU Anh
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36 questions
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1.
MULTIPLE CHOICE QUESTION
30 sec • 1 pt
An analyst who routinely purges the files that support his research and recommendations:
is acting in accordance to Standard III(E), Preservation of Confidentiality.
is acting in accordance to Standard IV(A), Loyalty to Employer.
may be violating Standard V(C), Record Retention.
2.
MULTIPLE CHOICE QUESTION
30 sec • 1 pt
Choose the best option:
the relationship of the historical total risk to return only.
the relationship of the historical beta and return only.
both the historical beta and total risk and return.
3.
MULTIPLE CHOICE QUESTION
30 sec • 1 pt
Choose the best option:
Both Standard I(B) Independence and Objectivity and Standard V(A) Diligence and Reasonable Basis.
Standard V(A) Diligence and Reasonable Basis only.
Standard I(B) Independence and Objectivity, only.
4.
MULTIPLE CHOICE QUESTION
30 sec • 1 pt
Choose the best option:
Make a reasonable effort to verify that the third-party research is sound.
Perform his own research rather than relying on third-party research.
Disclose to clients the sources of any third-party research that supports their recommendations.
5.
MULTIPLE CHOICE QUESTION
30 sec • 1 pt
Choose the best option:
not violate the Code and Standards in her report.
violated the Code and Standards by not including the insider trading information in her report.
violated the Code and Standards by not including the insider trading information and by not including the credit rating downgrade in her report.
6.
MULTIPLE CHOICE QUESTION
30 sec • 1 pt
Choose the best option:
violated the Standard because the report did not give similar attention to all areas but instead emphasized quarterly earnings at the expense of other areas.
did not violate the Standard.
violated the Standard because he did not thoroughly review and analyze any information provided by Brisson.
7.
MULTIPLE CHOICE QUESTION
30 sec • 1 pt
An analyst notices that for most years a given class of assets has an abnormally high rate of return, the asset class often has an abnormally low rate of return the next year. Based upon this information, according to Standard V(A), Diligence and Reasonable Basis, the analyst can recommend:
neither of these choices.
an increased allocation of Treasury bills (T-bills) for all portfolios of assets that have increased dramatically in the previous year.
short selling assets that have had a good previous year to all clients.
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