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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

SchweserPrintableTestsLevel1EXAM1Morning180minutesLevel1EXAM1MorningYoucanprintthispagebygoingtofileprintinyourinternetbrowser.Ethics18Questions27minutesQuestion123379BasedonAIMRsStandardsofProfessionalConduct,whichofthefollowingstatementsareaviolationofStandardIVB.6,ProhibitionagainstMisrepresentationAAyoungtraineebondtradertellsaprospectiveclientthatshecanassisttheclientinalltheclientsinvestmentneedsequity,fixedincome,andderivativesandbasedonheryearsofexperienceasananalystinthebusinessthataninvestmentlookslikeithaslotsofpotential.BAllofthese.CAninvestmentmanagerrecommendstoaprospectiveclient,aninvestmentinmortgageIOstripsbecausetheyareguaranteedbyanagencyofthefederalgovernment.DAbrokersaysXYZstockis100guaranteedtodoubleinvalueoverthenextsixmonths.Question228161AccordingtoAIMRsStandardsofProfessionalConductStandardIB,FundamentalResponsibilities,membersshallnotknowinglyparticipateorassistinlegalandethicalviolations.AnanalystAmustreportalllegalviolationstotheproperregulatorycommissionandisheldresponsibleforparticipatinginillegalactswhenthelawisevidenttoanyoneknowingthelaw.Bisheldresponsibleforviolationsbyotherswhentheanalystisunawareofthefactsgivingrisetotheviolation.Cisheldresponsibleforparticipatinginillegalactswhenthelawisevidenttoanyoneknowingthelawandcanparticipateinaviolationbyhavingknowledgeoftheviolationandtakingnoactiontostopitordisassociatefromit.Disheldresponsibleforparticipatinginillegalactswhenthelawisevidenttoanyoneknowingthelawandisheldresponsibleforviolationsbyotherswhentheanalystisunawareofthefactsgivingrisetotheviolation.Question328162WhichofthefollowingisaviolationbasedonAIMRsStandardsofProfessionalConductAAportfoliomanageracceptsfreetradesfromXYZforherpersonalaccountfordirectingtheportfoliostradestoXYZ.Shedoesnotinformhermanagersincethereisnocashinvolved.BAfterinforminghismanager,aportfoliomanageracceptsmoneyforgivingabrokerinformationrelatingtoaclientsfinancialstanding.CAportfoliomanagerisofferedafreevacationtoincreaseperformance.Attheendoftheyearperformanceisupandthemanageracceptsthevacationafterinforminghismanagerofthefact.DAportfoliomanagerisunexpectedlyofferedavacationatyearendfromaclientwhowaspleasedwiththeirportfoliosperformance.Themanageracceptsthevacationafterinforminghermanagerofthefact.Question428165BasedonAIMRsStandardsofProfessionalConduct,whichofthefollowingstatementsareaviolationofStandardIVB.6,ProhibitionagainstMisrepresentationAAyoungtraineebondtradertellsaprospectiveclientthatshecanassisttheclientinalltheclientsinvestmentneedsequity,fixedincome,andderivativesandbasedonheryearsofexperienceasananalystinthebusinessthataninvestmentlookslikeithaslotsofpotential.BAninvestmentmanagerrecommendstoaprospectiveclient,aninvestmentinmortgageIOstripsbecausetheyareguaranteedbyanagencyofthefederalgovernment.CAbrokersaysXYZstockis100guaranteedtodoubleinvalueoverthenextsixmonths.DAllofthese.Question528167WhichoneofthefollowingisNOTconsistentwithAIMRsPerformancePresentationStandardsACashandcashequivalentsmustbeincludedincompositereturns.BAllactual,feepaying,discretionaryportfoliosshouldbeincludedinatleastonecomposite.CInvestmentperformanceistherecordofthemanagernotthefirm,allchangesinpersonnelshouldbeaccountedforbyadjustingthecompositesperformancehistory.DPresentationofperformancemaybeeithergrossornetofinvestmentmanagementfees,aslongasthemethodandthefeeschedulearedisclosed.Question628168UndertheEmployeeRetirementIncomeSecurityActERISA,apersonisafiduciaryifheorsheAhasdiscretionaryauthorityintheadministrationofthepensionplanrendersinvestmentadviceforafeewithrespecttoapensionplansassetsexercisesanydiscretionaryauthoritywiththemanagementofthepensionplanoritsassets.Bhasanexecutivepositioninthefirmsponsoringthepensionplan.Chasanexecutivepositioninthefirmsponsoringthepensionplanhasdiscretionaryauthorityintheadministrationofthepensionplan.Dexercisesanydiscretionaryauthoritywiththemanagementofthepensionplanoritsassets.Question729219TherearefourcomponentsoftheAIMRCodeofEthics.AllofthefollowingarepartoftheCodeofEthicsEXCEPTAPracticeandencourageotherstopracticeinaprofessionalandethicalmannerthatwillreflectcreditonmembersandtheirprofession.BStrivetomaintainandimprovethecompetenceofregulatorybodiessuchastheSecuritiesandExchangeCommissionSEC.CStrivetomaintainandimprovethecompetenceofothersintheprofession.DUsereasonablecareandexerciseindependentprofessionaljudgment.Question829220AIMRbelievesAthatamaximumlevelofprofessionalresponsibilityandconductdictatesthatmembersbeawareofandcomplywithlaws,rules,andregulationsgoverningtheirconduct.Bcompaniesshouldsetstandardsbasedontheethicsofuppermanagementandtheboardofdirectors.Cthatfirmsshouldcomplywithalldomesticlawsandregulationsandthattheselawsalsogovernbehaviorinforeignmarkets,regardlessofforeignlawsandrequirements.Dthataminimumlevelofprofessionalresponsibilityandconductdictatesthatmembersbeawareofandcomplywithlaws,rules,andregulationsgoverningtheirconduct.Question929221WhichofthefollowingstatementsabouttheAIMRCodeandStandardsisTRUETheCodeandStandardsArequirethatmembersreportlegalviolationstotheappropriategovernmentalorregulatoryorganization.Bdonotrequirethatmembersreportlegalviolationstotheappropriategovernmentalorregulatoryorganization.Cexpectmemberstoresignfromtheirjobstodisassociatethemselvesfromclientsengaginginillegalactivities.Dexpectmemberstopersuadetheperpetratortoceaseillegalactivities.Question1029222AllofthefollowingareappropriateusesoftheCFAdesignationEXCEPTAJeremySalyers,CFA.BJoanneSilbourneisaCFAcharterholder.CI,asaCFAcharterholder,expecttooutperformthemarketbecauseCFAcharterholdershaveonaverageoutperformedtheSPin95percentofthelast50years.DIhaveearnedtheCFAdesignationbypassingthreeexams,havingsufficientworkexperienceandbecomingamemberofAIMR®.Question1129223WhichofthefollowingwouldNOTviolateAIMR畳srulesregardingpersonalintegrityandbehaviorAAdrivingundertheinfluenceDUIconvictionthatresultsinthelossofonesdriverslicenseforsixmonths.BStealingacarandgoingtoprisonfor18months.CAmisdemeanorconvictionthatresultsfromlyingaboutyourincomeonyourtaxreturn.DCheatingonanMBApreliminaryexamandbeingexpelledfromtheUniversity.Question1229224Whenmustananalystgivecredittothefirm抯ownresearchstaffforresearchanalysisAWhensendingprintedmaterialstoclients.BWhendiscussingresearchwithaclient.CInaprofessionalwitnesssituation.DIninterofficecommunications.Question1329225AnAIMRmemberisNOTrequiredtonotifyhersupervisorinwritingoftheAIMRCodeandStandardsunderwhichofthefollowingcircumstancesATheemployerhasindicatedawillingnesstoadoptAIMRsCodeandStandards,andthesupervisorisanAIMRmember.BTheemployerhasahighethicalstandard,muchofwhichisreflectedinwritinginthefirmsMissionStatement.CThesupervisorisanAIMRmember.DTheemployerhaspubliclyacknowledgedinwritingthattheyhaveadoptedtheAIMRCodeandStandards.Question1429226WhenanAIMRmemberwhoispresentlyemployedbyafirmundertakesanyindependentpractice,hemustdoallofthefollowingEXCEPTAsecurewrittenpermissionfromtheemployer.Bremandapercentagetobedeterminedbytheemployeeandemployeroftheincomeearnedbacktotheemployer.Csecurewrittenpermissionfromtheoutsidefirm.Ddisclosetheidentityoftheiremployertoclientsandprospectiveclientsandthefactthattheyareperformingindependentlyoftheemployer.Question1529227Whichofthefollowingstatementsregardingemployee/employerrelationshipsisFALSEAAwrittencontractmayormaynotexistbetweenemployerandemployee.BTheemployerhasthepowertocontrolanddirectthedetailsofhowworkistobeperformed.CTheremustbemonetarycompensationforanemployer/employeerelationshiptoexist.DAnemployeeissomeoneintheserviceofanother.Question1629228WithrespecttoStandardIIIE,ResponsibilitiesofSupervisors,compliancesupervisorsandcomplianceofficersshoulddoallofthefollowingEXCEPTAdisseminatethecomplianceprocedures.Bincorporateaprofessionalconductevaluationintotheemployeesperformancereview.Choldhearingswithrepresentativesfromthefirmtodecidewhetherviolationshaveoccurredandthelevelofseverityoftheviolations.Dreviewemployeeactionstoensurecomplianceandidentifyviolators.Question1729229BrettGermaineisanAIMRmemberwhomanagesclientportfolios.Hehasthepowertobuyandsellsecuritiesonbehalfofhisclients.HismotherisaclientandBrettmanageshertrust.Withrespecttohismother抯account,hemustAtreatheraccountwithabitmorecareandconcerngivingheradvancenoticeofinformationlikerecommendationchanges.BtreatheraccountwithlesscareandconcernthanhisotheraccountssoastoavoidtheappearanceoffavoritismandcomplywiththeCodeandStandards.CnottakehismothersaccountbecauseitisaviolationoftheCodeandStandardstomanageafamilymembersaccountortrust.Dtreatheraccountlikeanyotherfirmaccountandshouldnotgiveheraccountspecialtreatmentordisadvantage.Question1829230InatoughdecisiontoleaveGreenbergandAssociates,JillianCross,CFA,decidestoseekemploymentwithacompetingfirm.Shedecidesthathercurrentmanagementteamisessentialtoherabilitytodoherjobandplanstoconvincetheotherstocomewithherwhensheleaves.Shealsoplanstotakeherclientlistwithherbecauseshehastostartsomewhereinbuildingabookofbusiness.JillianisAoutofcomplianceonlyintakingtheclientlist.Boutofcomplianceonlyintryingtogetheremployeestocomewithher.CoutofcompliancewithStandardIIIB,DutytoEmployer,onbothcountsattemptingtotakehermanagementteamwithherandmisappropriatingtheclientlist.Dincompliance.QuantitativeAnalysis18Questions27minutesQuestion1918868Thereare35observationsarrayedinastemandleafdisplay.Whatisthemodeandmedianofthisdata5|01135666896|002222355678897|00223456678A62and65.B60and63.C65and62.D62.5and62.5.Question2018871UsethefollowingdatatoevaluateaninvestmentportfoliothatholdsoneshareofeachofthreefirmsA,B,andCthatdonotpaydividends.StocksBeginningYearPriceEndingYearPriceA1020B5060C100110WhatistheaverageratereturnoftheportfolioA6.25.B12.25.C18.75.D43.33.Question2118872WhichofthefollowingstatementsisFALSEATheinterquartilerangecontainshalfthedatapointsinthedataset.BTheinterquartilerangeissetathalfthedistancebetweenthelargestandsmallestnumberinthedataset.CIfthemedianisontheleftsideoftheinterquartilerangethedataisskewedtotheleft.DDownsideoutliersarethoseobservationsbelowthefirstquartileless1.5timestheinterquartilerange.Question2218873Usethefollowingdatatocalculatethestandarddeviationabouttheexpectedreturn50chanceofa12return30chanceofa10return20chanceofa15returnA2.5.B3.0.C1.7.D3.3.Question2318874Basedonthefollowingdata,whatisABCCo.sprojectedgrowthrateBearNormalBullProbability304030ROE101530b604030A5.0.B7.0.C7.5.D6.9.Question2429390JustinBanksjustwonthelotteryandistryingtodecidebetweentheannualcashflowpaymentoptionorthelumpsumoption.Justincanearn8atthebankandtheannualcashflowoptionis100,000/year,beginningtodayfor15years.WhatistheannualcashflowoptionworthtoJustintoday

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