CFA Practice Question

There are 291 practice questions for this study session.

CFA Practice Question

Which one of the following requirements will not help to ensure the fair treatment of brokerage firm clients when a new investment recommendation is made?
A. Limit the number of people in the firm who are aware in advance that a recommendation is to be disseminated.
B. Establish procedures to ensure that institutional clients are informed of the new recommendation prior to smaller individual accounts.
C. Monitor the trading activities of firm personnel.
Explanation: There are other requirements as well (e.g., minimize elapsed time between the decision and the dissemination of a recommendation).

User Contributed Comments 2

User Comment
Goran80 Insitutes- first
Individuals - last
zzhumanov to Goran:
this will NOT help to ensure the fair dealing.

You are wrong, buddy.
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