Which standard deals with the Prohibition against Use of Material Nonpublic Information?
Answer(s): E
Standard V (A) - Prohibition against Use of Material Nonpublic Information, states that "members who possess material nonpublic information related to the value of a security shall not trade in that security if such trading would breach a duty or if the information was misappropriated or relates to a tender offer."
An investment recommendation can be disseminated to clients via each of the following methods, EXCEPT:
Answer(s): F
According to Standard IV (B.3) - Fair Dealing, an investment recommendation is any opinion expressed by a member in regard to purchasing, selling or holding a given security or other investment. All of the methods listed are acceptable for dissemination.
Parts of the standards that are ________ must be observed.
Answer(s): C
Some aspects of the Performance Presentation Standards are mandatory and must be observed, while other aspects are recommended.
A manager who pays a higher commission than would normally be paid to purchase the goods or services:
This practice is commonly referred to as "paying up" for services.
Relationships with and Responsibilities to the Employer are dealt with under:
Answer(s): D
Relationships with and Responsibilities to the Employer are dealt with under Standard III.
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