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CFA Level1经典模拟试题1200道【一份十分经典的专业资料,打灯笼都找不到的好资料】.pdf

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CFA Level1经典模拟试题1200道【一份十分经典的专业资料,打灯笼都找不到的好资料】.pdf

SCHWESERPRINTABLETESTSLEVEL1EXAM1MORNING180MINUTESLEVEL1EXAM1MORNINGYOUCANPRINTTHISPAGEBYGOINGTOFILEPRINTINYOURINTERNETBROWSERETHICS18QUESTIONS27MINUTESQUESTION123379BASEDONAIMRSSTANDARDSOFPROFESSIONALCONDUCT,WHICHOFTHEFOLLOWINGSTATEMENTSAREAVIOLATIONOFSTANDARDIVB6,PROHIBITIONAGAINSTMISREPRESENTATIONAAYOUNGTRAINEEBONDTRADERTELLSAPROSPECTIVECLIENTTHATSHECANASSISTTHECLIENTINALLTHECLIENTSINVESTMENTNEEDSEQUITY,FIXEDINCOME,ANDDERIVATIVESANDBASEDONHERYEARSOFEXPERIENCEASANANALYSTINTHEBUSINESSTHATANINVESTMENTLOOKSLIKEITHASLOTSOFPOTENTIALBALLOFTHESECANINVESTMENTMANAGERRECOMMENDSTOAPROSPECTIVECLIENT,ANINVESTMENTINMORTGAGEIOSTRIPSBECAUSETHEYAREGUARANTEEDBYANAGENCYOFTHEFEDERALGOVERNMENTDABROKERSAYSXYZSTOCKIS100GUARANTEEDTODOUBLEINVALUEOVERTHENEXTSIXMONTHSQUESTION228161ACCORDINGTOAIMRSSTANDARDSOFPROFESSIONALCONDUCTSTANDARDIB,FUNDAMENTALRESPONSIBILITIES,MEMBERSSHALLNOTKNOWINGLYPARTICIPATEORASSISTINLEGALANDETHICALVIOLATIONSANANALYSTAMUSTREPORTALLLEGALVIOLATIONSTOTHEPROPERREGULATORYCOMMISSIONANDISHELDRESPONSIBLEFORPARTICIPATINGINILLEGALACTSWHENTHELAWISEVIDENTTOANYONEKNOWINGTHELAWBISHELDRESPONSIBLEFORVIOLATIONSBYOTHERSWHENTHEANALYSTISUNAWAREOFTHEFACTSGIVINGRISETOTHEVIOLATIONCISHELDRESPONSIBLEFORPARTICIPATINGINILLEGALACTSWHENTHELAWISEVIDENTTOANYONEKNOWINGTHELAWANDCANPARTICIPATEINAVIOLATIONBYHAVINGKNOWLEDGEOFTHEVIOLATIONANDTAKINGNOACTIONTOSTOPITORDISASSOCIATEFROMITDISHELDRESPONSIBLEFORPARTICIPATINGINILLEGALACTSWHENTHELAWISEVIDENTTOANYONEKNOWINGTHELAWANDISHELDRESPONSIBLEFORVIOLATIONSBYOTHERSWHENTHEANALYSTISUNAWAREOFTHEFACTSGIVINGRISETOTHEVIOLATIONQUESTION328162WHICHOFTHEFOLLOWINGISAVIOLATIONBASEDONAIMRSSTANDARDSOFPROFESSIONALCONDUCTAAPORTFOLIOMANAGERACCEPTSFREETRADESFROMXYZFORHERPERSONALACCOUNTFORDIRECTINGTHEPORTFOLIOSTRADESTOXYZSHEDOESNOTINFORMHERMANAGERSINCETHEREISNOCASHINVOLVEDBAFTERINFORMINGHISMANAGER,APORTFOLIOMANAGERACCEPTSMONEYFORGIVINGABROKERINFORMATIONRELATINGTOACLIENTSFINANCIALSTANDINGCAPORTFOLIOMANAGERISOFFEREDAFREEVACATIONTOINCREASEPERFORMANCEATTHEENDOFTHEYEARPERFORMANCEISUPANDTHEMANAGERACCEPTSTHEVACATIONAFTERINFORMINGHISMANAGEROFTHEFACTDAPORTFOLIOMANAGERISUNEXPECTEDLYOFFEREDAVACATIONATYEARENDFROMACLIENTWHOWASPLEASEDWITHTHEIRPORTFOLIOSPERFORMANCETHEMANAGERACCEPTSTHEVACATIONAFTERINFORMINGHERMANAGEROFTHEFACTQUESTION428165BASEDONAIMRSSTANDARDSOFPROFESSIONALCONDUCT,WHICHOFTHEFOLLOWINGSTATEMENTSAREAVIOLATIONOFSTANDARDIVB6,PROHIBITIONAGAINSTMISREPRESENTATIONAAYOUNGTRAINEEBONDTRADERTELLSAPROSPECTIVECLIENTTHATSHECANASSISTTHECLIENTINALLTHECLIENTSINVESTMENTNEEDSEQUITY,FIXEDINCOME,ANDDERIVATIVESANDBASEDONHERYEARSOFEXPERIENCEASANANALYSTINTHEBUSINESSTHATANINVESTMENTLOOKSLIKEITHASLOTSOFPOTENTIALBANINVESTMENTMANAGERRECOMMENDSTOAPROSPECTIVECLIENT,ANINVESTMENTINMORTGAGEIOSTRIPSBECAUSETHEYAREGUARANTEEDBYANAGENCYOFTHEFEDERALGOVERNMENTCABROKERSAYSXYZSTOCKIS100GUARANTEEDTODOUBLEINVALUEOVERTHENEXTSIXMONTHSDALLOFTHESEQUESTION528167WHICHONEOFTHEFOLLOWINGISNOTCONSISTENTWITHAIMRSPERFORMANCEPRESENTATIONSTANDARDSACASHANDCASHEQUIVALENTSMUSTBEINCLUDEDINCOMPOSITERETURNSBALLACTUAL,FEEPAYING,DISCRETIONARYPORTFOLIOSSHOULDBEINCLUDEDINATLEASTONECOMPOSITECINVESTMENTPERFORMANCEISTHERECORDOFTHEMANAGERNOTTHEFIRM,ALLCHANGESINPERSONNELSHOULDBEACCOUNTEDFORBYADJUSTINGTHECOMPOSITESPERFORMANCEHISTORYDPRESENTATIONOFPERFORMANCEMAYBEEITHERGROSSORNETOFINVESTMENTMANAGEMENTFEES,ASLONGASTHEMETHODANDTHEFEESCHEDULEAREDISCLOSEDQUESTION628168UNDERTHEEMPLOYEERETIREMENTINCOMESECURITYACTERISA,APERSONISAFIDUCIARYIFHEORSHEAHASDISCRETIONARYAUTHORITYINTHEADMINISTRATIONOFTHEPENSIONPLAN;RENDERSINVESTMENTADVICEFORAFEEWITHRESPECTTOAPENSIONPLANSASSETS;EXERCISESANYDISCRETIONARYAUTHORITYWITHTHEMANAGEMENTOFTHEPENSIONPLANORITSASSETSBHASANEXECUTIVEPOSITIONINTHEFIRMSPONSORINGTHEPENSIONPLANCHASANEXECUTIVEPOSITIONINTHEFIRMSPONSORINGTHEPENSIONPLAN;HASDISCRETIONARYAUTHORITYINTHEADMINISTRATIONOFTHEPENSIONPLANDEXERCISESANYDISCRETIONARYAUTHORITYWITHTHEMANAGEMENTOFTHEPENSIONPLANORITSASSETSQUESTION729219THEREAREFOURCOMPONENTSOFTHEAIMRCODEOFETHICSALLOFTHEFOLLOWINGAREPARTOFTHECODEOFETHICSEXCEPTAPRACTICEANDENCOURAGEOTHERSTOPRACTICEINAPROFESSIONALANDETHICALMANNERTHATWILLREFLECTCREDITONMEMBERSANDTHEIRPROFESSIONBSTRIVETOMAINTAINANDIMPROVETHECOMPETENCEOFREGULATORYBODIESSUCHASTHESECURITIESANDEXCHANGECOMMISSIONSECCSTRIVETOMAINTAINANDIMPROVETHECOMPETENCEOFOTHERSINTHEPROFESSIONDUSEREASONABLECAREANDEXERCISEINDEPENDENTPROFESSIONALJUDGMENTQUESTION829220AIMRBELIEVESATHATAMAXIMUMLEVELOFPROFESSIONALRESPONSIBILITYANDCONDUCTDICTATESTHATMEMBERSBEAWAREOFANDCOMPLYWITHLAWS,RULES,ANDREGULATIONSGOVERNINGTHEIRCONDUCTBCOMPANIESSHOULDSETSTANDARDSBASEDONTHEETHICSOFUPPERMANAGEMENTANDTHEBOARDOFDIRECTORSCTHATFIRMSSHOULDCOMPLYWITHALLDOMESTICLAWSANDREGULATIONSANDTHATTHESELAWSALSOGOVERNBEHAVIORINFOREIGNMARKETS,REGARDLESSOFFOREIGNLAWSANDREQUIREMENTSDTHATAMINIMUMLEVELOFPROFESSIONALRESPONSIBILITYANDCONDUCTDICTATESTHATMEMBERSBEAWAREOFANDCOMPLYWITHLAWS,RULES,ANDREGULATIONSGOVERNINGTHEIRCONDUCTQUESTION929221WHICHOFTHEFOLLOWINGSTATEMENTSABOUTTHEAIMRCODEANDSTANDARDSISTRUETHECODEANDSTANDARDSAREQUIRETHATMEMBERSREPORTLEGALVIOLATIONSTOTHEAPPROPRIATEGOVERNMENTALORREGULATORYORGANIZATIONBDONOTREQUIRETHATMEMBERSREPORTLEGALVIOLATIONSTOTHEAPPROPRIATEGOVERNMENTALORREGULATORYORGANIZATIONCEXPECTMEMBERSTORESIGNFROMTHEIRJOBSTODISASSOCIATETHEMSELVESFROMCLIENTSENGAGINGINILLEGALACTIVITIESDEXPECTMEMBERSTOPERSUADETHEPERPETRATORTOCEASEILLEGALACTIVITIESQUESTION1029222ALLOFTHEFOLLOWINGAREAPPROPRIATEUSESOFTHECFADESIGNATIONEXCEPTAJEREMYSALYERS,CFABJOANNESILBOURNEISACFACHARTERHOLDERCI,ASACFACHARTERHOLDER,EXPECTTOOUTPERFORMTHEMARKETBECAUSECFACHARTERHOLDERSHAVEONAVERAGEOUTPERFORMEDTHESPIN95PERCENTOFTHELAST50YEARSDIHAVEEARNEDTHECFADESIGNATIONBYPASSINGTHREEEXAMS,HAVINGSUFFICIENTWORKEXPERIENCEANDBECOMINGAMEMBEROFAIMRQUESTION1129223WHICHOFTHEFOLLOWINGWOULDNOTVIOLATEAIMR畳SRULESREGARDINGPERSONALINTEGRITYANDBEHAVIORAADRIVINGUNDERTHEINFLUENCEDUICONVICTIONTHATRESULTSINTHELOSSOFONESDRIVERSLICENSEFORSIXMONTHSBSTEALINGACARANDGOINGTOPRISONFOR18MONTHSCAMISDEMEANORCONVICTIONTHATRESULTSFROMLYINGABOUTYOURINCOMEONYOURTAXRETURNDCHEATINGONANMBAPRELIMINARYEXAMANDBEINGEXPELLEDFROMTHEUNIVERSITYQUESTION1229224WHENMUSTANANALYSTGIVECREDITTOTHEFIRM抯OWNRESEARCHSTAFFFORRESEARCHANALYSISAWHENSENDINGPRINTEDMATERIALSTOCLIENTSBWHENDISCUSSINGRESEARCHWITHACLIENTCINAPROFESSIONALWITNESSSITUATIONDININTEROFFICECOMMUNICATIONSQUESTION1329225ANAIMRMEMBERISNOTREQUIREDTONOTIFYHERSUPERVISORINWRITINGOFTHEAIMRCODEANDSTANDARDSUNDERWHICHOFTHEFOLLOWINGCIRCUMSTANCESATHEEMPLOYERHASINDICATEDAWILLINGNESSTOADOPTAIMRSCODEANDSTANDARDS,ANDTHESUPERVISORISANAIMRMEMBERBTHEEMPLOYERHASAHIGHETHICALSTANDARD,MUCHOFWHICHISREFLECTEDINWRITINGINTHEFIRMSMISSIONSTATEMENTCTHESUPERVISORISANAIMRMEMBERDTHEEMPLOYERHASPUBLICLYACKNOWLEDGEDINWRITINGTHATTHEYHAVEADOPTEDTHEAIMRCODEANDSTANDARDSQUESTION1429226WHENANAIMRMEMBERWHOISPRESENTLYEMPLOYEDBYAFIRMUNDERTAKESANYINDEPENDENTPRACTICE,HEMUSTDOALLOFTHEFOLLOWINGEXCEPTASECUREWRITTENPERMISSIONFROMTHEEMPLOYERBREMANDAPERCENTAGETOBEDETERMINEDBYTHEEMPLOYEEANDEMPLOYEROFTHEINCOMEEARNEDBACKTOTHEEMPLOYERCSECUREWRITTENPERMISSIONFROMTHEOUTSIDEFIRMDDISCLOSETHEIDENTITYOFTHEIREMPLOYERTOCLIENTSANDPROSPECTIVECLIENTSANDTHEFACTTHATTHEYAREPERFORMINGINDEPENDENTLYOFTHEEMPLOYERQUESTION1529227WHICHOFTHEFOLLOWINGSTATEMENTSREGARDINGEMPLOYEE/EMPLOYERRELATIONSHIPSISFALSEAAWRITTENCONTRACTMAYORMAYNOTEXISTBETWEENEMPLOYERANDEMPLOYEEBTHEEMPLOYERHASTHEPOWERTOCONTROLANDDIRECTTHEDETAILSOFHOWWORKISTOBEPERFORMEDCTHEREMUSTBEMONETARYCOMPENSATIONFORANEMPLOYER/EMPLOYEERELATIONSHIPTOEXISTDANEMPLOYEEISSOMEONEINTHESERVICEOFANOTHERQUESTION1629228WITHRESPECTTOSTANDARDIIIE,RESPONSIBILITIESOFSUPERVISORS,COMPLIANCESUPERVISORSANDCOMPLIANCEOFFICERSSHOULDDOALLOFTHEFOLLOWINGEXCEPTADISSEMINATETHECOMPLIANCEPROCEDURESBINCORPORATEAPROFESSIONALCONDUCTEVALUATIONINTOTHEEMPLOYEESPERFORMANCEREVIEWCHOLDHEARINGSWITHREPRESENTATIVESFROMTHEFIRMTODECIDEWHETHERVIOLATIONSHAVEOCCURREDANDTHELEVELOFSEVERITYOFTHEVIOLATIONSDREVIEWEMPLOYEEACTIONSTOENSURECOMPLIANCEANDIDENTIFYVIOLATORSQUESTION1729229BRETTGERMAINEISANAIMRMEMBERWHOMANAGESCLIENTPORTFOLIOSHEHASTHEPOWERTOBUYANDSELLSECURITIESONBEHALFOFHISCLIENTSHISMOTHERISACLIENTANDBRETTMANAGESHERTRUSTWITHRESPECTTOHISMOTHER抯ACCOUNT,HEMUSTATREATHERACCOUNTWITHABITMORECAREANDCONCERNGIVINGHERADVANCENOTICEOFINFORMATIONLIKERECOMMENDATIONCHANGESBTREATHERACCOUNTWITHLESSCAREANDCONCERNTHANHISOTHERACCOUNTSSOASTOAVOIDTHEAPPEARANCEOFFAVORITISMANDCOMPLYWITHTHECODEANDSTANDARDSCNOTTAKEHISMOTHERSACCOUNTBECAUSEITISAVIOLATIONOFTHECODEANDSTANDARDSTOMANAGEAFAMILYMEMBERSACCOUNTORTRUSTDTREATHERACCOUNTLIKEANYOTHERFIRMACCOUNTANDSHOULDNOTGIVEHERACCOUNTSPECIALTREATMENTORDISADVANTAGEQUESTION1829230INATOUGHDECISIONTOLEAVEGREENBERGANDASSOCIATES,JILLIANCROSS,CFA,DECIDESTOSEEKEMPLOYMENTWITHACOMPETINGFIRMSHEDECIDESTHATHERCURRENTMANAGEMENTTEAMISESSENTIALTOHERABILITYTODOHERJOBANDPLANSTOCONVINCETHEOTHERSTOCOMEWITHHERWHENSHELEAVESSHEALSOPLANSTOTAKEHERCLIENTLISTWITHHERBECAUSESHEHASTOSTARTSOMEWHEREINBUILDINGABOOKOFBUSINESSJILLIANISAOUTOFCOMPLIANCEONLYINTAKINGTHECLIENTLISTBOUTOFCOMPLIANCEONLYINTRYINGTOGETHEREMPLOYEESTOCOMEWITHHERCOUTOFCOMPLIANCEWITHSTANDARDIIIB,DUTYTOEMPLOYER,ONBOTHCOUNTSATTEMPTINGTOTAKEHERMANAGEMENTTEAMWITHHERANDMISAPPROPRIATINGTHECLIENTLISTDINCOMPLIANCEQUANTITATIVEANALYSIS18QUESTIONS27MINUTESQUESTION1918868THEREARE35OBSERVATIONSARRAYEDINASTEMANDLEAFDISPLAYWHATISTHEMODEANDMEDIANOFTHISDATA5|01135666896|002222355678897|00223456678A62AND65B60AND63C65AND62D625AND625QUESTION2018871USETHEFOLLOWINGDATATOEVALUATEANINVESTMENTPORTFOLIOTHATHOLDSONESHAREOFEACHOFTHREEFIRMSA,B,ANDCTHATDONOTPAYDIVIDENDSSTOCKSBEGINNINGYEARPRICEENDINGYEARPRICEA1020B5060C100110WHATISTHEAVERAGERATERETURNOFTHEPORTFOLIOA625B1225C1875D4333QUESTION2118872WHICHOFTHEFOLLOWINGSTATEMENTSISFALSEATHEINTERQUARTILERANGECONTAINSHALFTHEDATAPOINTSINTHEDATASETBTHEINTERQUARTILERANGEISSETATHALFTHEDISTANCEBETWEENTHELARGESTANDSMALLESTNUMBERINTHEDATASETCIFTHEMEDIANISONTHELEFTSIDEOFTHEINTERQUARTILERANGETHEDATAISSKEWEDTOTHELEFTDDOWNSIDEOUTLIERSARETHOSEOBSERVATIONSBELOWTHEFIRSTQUARTILELESS15TIMESTHEINTERQUARTILERANGEQUESTION2218873USETHEFOLLOWINGDATATOCALCULATETHESTANDARDDEVIATIONABOUTTHEEXPECTEDRETURN50CHANCEOFA12RET

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