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发表时间:2015-05-19 16:10 编辑: 告诉小伙伴:


1、There is an endowment, and it will pay $50,000quarterly to each investor forever. If the effective annual rate is 4%, thepresent value is closest to:

A. $4,000,000

B. $5,000,000

C. $5,074,387

Solution: C

2、If an investor wants tohave$100 in three years, how much must be invested today?

A. $77.75.

B. $100.00.

C. $126.30.

Solution: B

Since nointerest is earned, $1 00 is needed today to have $1 00 in three years.

3、Which of McGuinn’s recommendations is least appropriate to implement as per recommended procedures for compliance of Standard II (A) Material Nonpublic Information?

A. Recommendation 3

B. Recommendation 2

C. Recommendation 1

Answer = C

When a firm acts as a market maker, a prohibition on proprietary trading may be counterproductive to the goals of maintaining the confidentiality of information and market liquidity, as outlined in Standard II (A) Material Nonpublic Information. In some cases, a withdrawal by the firm from market-making activities would be a clear tip to outsiders. Firms that continue market-making activity while in the possession of material nonpublic information should, however, instruct their market makers to remain passive to the market (i.e., take only the opposing side of unsolicited customer trades).

4、With regard to the fund managers under investigation, the most appropriate additional action McGuinn should take is to:

A. monitor their future actions.

B. require a statement stating the behavior will cease.

C. report the misconduct up the chain of command.

Answer = A

As a supervisor, under Standard IV (C) Responsibilities of Supervisors, McGuinn has a responsibility after he notices and investigates the violation to monitor the employees to ensure that the errant behavior has changed and conforms to the Code and Standards. Reporting the violation up the chain of command along with requiring a statement from the employees stating the behavior will not be repeated is not enough. 


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