注册金融分析师-注册金融分析师一级分类模拟1

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1、注册金融分析师一级分类模拟1单项选择题AninvestmentmanagementfirmhasbeenhiredbySEKCorporationtoworkonaninitialpublicofferingforthecompany•Thefirm1sbrokerageunitnowhasasellrecommendationonSEK,buttheheadoftheinvestment-bankingdepartmenthasaskedtheheadofthebrokerageunittochangetherecommendationfrom

2、selltobuy.AccordingtotheStandards,theheadofthebrokerageunitwouldbepermittedto:A.increasetherecommendationbynomorethanoneincrement(inthisease,toaholdrecommendation).B.placethecompanyonarestrictedlistandgiveonlyfactualinformationaboutthecompany.C.reassignresponsibilityforrating

3、thestocktotheheadoftheinvestment-bankingdepartment•2、Scott,CFA,isananalystforM&DInvestmentManagers.HehasrecentlyacceptedaninvitationtovisitthefacilitiesofChemCo,aproducerofchemicalcompoundszChemCoofferstopayforScott'saccommodationsinapenthousesuiteataluxuryhotelandallowScottt

4、ousethefirmfsprivatejettotraveltoitsthreefacilitieslocatedinNewYork,BostonandPhiladelphia.Inaddition,ChemCoofferstwoticketstoahigh-societydinnerinNewYorkandacalculatorwiththeChemCologo•ScottdeclinestouseChemco1scorporatejetortoallowthefirmtopayforhisaccommodationsbutacceptsth

5、ecalculatorandtheticketstothedinner(whichhedisclosestohisemployer)sincehewillbeabletomarkethisfirm1smutualfundstootherguestsatthedinner.HasScoviolatedtheCodeandStandards?A.Yes・B•No,sinceheisusingthegiftsacceptedtobenefithisemployer1sinterests•C.No,sincethegiftsheacceptswerefu

6、llydisclosedinwritingtohisemployer.3^Kenneth,CFA,hasjuststmrtedworkbs3traineewithJerronAssetMenagementCo.,asmallregionalmoneymanagementfirmstartedsixmonthsago.Hehasbeentoldtomakeafewcoldcallsandroundupsomenewclients・InwhichofthefollowingstatementhasKennethleastlikelyviolatedt

7、heCodeandStandards?A.nWecanperformallthefinancialandinvestmentservicesyouneed•We1veconsistentlyoutperformedthemarketindexesandwillcontinuetodosounderourcurrentmanagement.nB.nWecanassistyouwithallthefinancialandinvestmentservicesyouneed•Ifwedon11providetheservicein-house,wehav

8、earrangementswithotherfull-servicefirmsthatIwouldbehappytotellyouabo