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CFA Institute CFA-Level-I Exam Sample Questions

Question: 2

Standard IV (B .7) deals with ________.

  1. Priority of Transactions
  2. None of these answers
  3. Disclosure of Referral Fees
  4. Performance Presentation
  5. Prohibition against Misrepresentation
  • Disclosure of Conflicts to Clients and Prospects
  • Preservation of Confidentiality
  • H. Prohibition against Use of Material Nonpublic Information


    Answer: F

    Explanation:

    Standard IV (B .7) states that members shall disclose to their clients all matters that could become potential conflicts. These include beneficial ownership of securities or otherinvestments, that reasonably could be expected to impair the member’s ability to make unbiased and objective recommendations.

    Question: 2

    Standard IV (B .7) deals with ________.

    1. Priority of Transactions
    2. None of these answers
    3. Disclosure of Referral Fees
    4. Performance Presentation
    5. Prohibition against Misrepresentation
  • Disclosure of Conflicts to Clients and Prospects
  • Preservation of Confidentiality
  • H. Prohibition against Use of Material Nonpublic Information


    Answer: F

    Explanation:

    Standard IV (B .7) states that members shall disclose to their clients all matters that could become potential conflicts. These include beneficial ownership of securities or otherinvestments, that reasonably could be expected to impair the member’s ability to make unbiased and objective recommendations.

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    Question: 2

    Standard IV (B .7) deals with ________.

    1. Priority of Transactions
    2. None of these answers
    3. Disclosure of Referral Fees
    4. Performance Presentation
    5. Prohibition against Misrepresentation
  • Disclosure of Conflicts to Clients and Prospects
  • Preservation of Confidentiality
  • H. Prohibition against Use of Material Nonpublic Information


    Answer: F

    Explanation:

    Standard IV (B .7) states that members shall disclose to their clients all matters that could become potential conflicts. These include beneficial ownership of securities or otherinvestments, that reasonably could be expected to impair the member’s ability to make unbiased and objective recommendations.

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    Question: 2

    Standard IV (B .7) deals with ________.

    1. Priority of Transactions
    2. None of these answers
    3. Disclosure of Referral Fees
    4. Performance Presentation
    5. Prohibition against Misrepresentation
  • Disclosure of Conflicts to Clients and Prospects
  • Preservation of Confidentiality
  • H. Prohibition against Use of Material Nonpublic Information


    Answer: F

    Explanation:

    Standard IV (B .7) states that members shall disclose to their clients all matters that could become potential conflicts. These include beneficial ownership of securities or otherinvestments, that reasonably could be expected to impair the member’s ability to make unbiased and objective recommendations.

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    Question: 2

    Standard IV (B .7) deals with ________.

    1. Priority of Transactions
    2. None of these answers
    3. Disclosure of Referral Fees
    4. Performance Presentation
    5. Prohibition against Misrepresentation
  • Disclosure of Conflicts to Clients and Prospects
  • Preservation of Confidentiality
  • H. Prohibition against Use of Material Nonpublic Information


    Answer: F

    Explanation:

    Standard IV (B .7) states that members shall disclose to their clients all matters that could become potential conflicts. These include beneficial ownership of securities or otherinvestments, that reasonably could be expected to impair the member’s ability to make unbiased and objective recommendations.

    Question: 2

    Standard IV (B .7) deals with ________.

    1. Priority of Transactions
    2. None of these answers
    3. Disclosure of Referral Fees
    4. Performance Presentation
    5. Prohibition against Misrepresentation
  • Disclosure of Conflicts to Clients and Prospects
  • Preservation of Confidentiality
  • H. Prohibition against Use of Material Nonpublic Information


    Answer: F

    Explanation:

    Standard IV (B .7) states that members shall disclose to their clients all matters that could become potential conflicts. These include beneficial ownership of securities or otherinvestments, that reasonably could be expected to impair the member’s ability to make unbiased and objective recommendations.