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Basic Question 0 of 13
Which of the following is most likely correct?
B. When a block order is partially executed, allocating partially executed orders among the participating client accounts pro rata on the basis of order size is recommended for compliance with Standard III (B) Fair Dealing.
C. Trade allocation procedures being disclosed to all clients prior to their retaining the services of a firm is sufficient for compliance with Standard V (B) Communication With Clients and Prospective Clients.
A. Trade allocation procedures being disclosed to all clients prior to their retaining the services of a firm is sufficient for compliance with Standard III (B) Fair Dealing.
B. When a block order is partially executed, allocating partially executed orders among the participating client accounts pro rata on the basis of order size is recommended for compliance with Standard III (B) Fair Dealing.
C. Trade allocation procedures being disclosed to all clients prior to their retaining the services of a firm is sufficient for compliance with Standard V (B) Communication With Clients and Prospective Clients.
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I passed! I did not get a chance to tell you before the exam - but your site was excellent. I will definitely take it next year for Level II.
Tamara Schultz
Learning Outcome Statements
describe implications of unit roots for time-series analysis, explain when unit roots are likely to occur and how to test for them, and demonstrate how a time series with a unit root can be transformed so it can be analyzed with an AR model;
describe the steps of the unit root test for nonstationarity and explain the relation of the test to autoregressive time-series models;
CFA® 2025 Level II Curriculum, Volume 1, Module 5.