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5 Written Questions

5 Matching Questions

  1. 1C
  2. 7B
  3. V
  4. IV
  5. 2A
  1. a Material Nonpublic Information
  2. b Duties to Employer
  3. c Reference to CFA institute, designation, program
  4. d Investment Analysis, Recommendation, Action
  5. e Misrepresentation

5 Multiple Choice Questions

  1. Performance Presentation
  2. Independence & O(B)jectivity
  3. Professionalism
  4. Diligence and Reasonable Basis
  5. Loyalty

5 True/False Questions

  1. 2BReference to CFA institute, designation, program

          

  2. IIIDuties to Client

          

  3. 6CRecord Retention

          

  4. 6BReference to CFA institute, designation, program

          

  5. 1DMisrepresentation

          

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