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5 Written questions

5 Matching questions

  1. 5A
  2. 1D
  3. 3A
  4. VII
  5. 6B
  1. a Diligence and Reasonable Basis
  2. b Miscon(D)uct
  3. c Priority of Transaction
  4. d Loyalty Prudence and Care
  5. e Reponsibilities as CFA Insittutes Member or CFA Candidate

5 Multiple choice questions

  1. Conduct as Members and Candidates in CFA program
  2. Duties to Employer
  3. Record Retention
  4. Misrepresentation
  5. Investment Analysis, Recommendation, Action

5 True/False questions

  1. 2AKnowledge of the L(A)w

          

  2. 4BPriority of Transaction

          

  3. 4CSuitability

          

  4. 1BPriority of Transaction

          

  5. 1AKnowledge of the L(A)w

          

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