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Basic Question 0 of 4
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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Edward Liu
Learning Outcome Statements
describe unsupervised machine learning algorithms - including principal components analysis, k-means clustering, and hierarchical clustering - and determine the problems for which they are best suited;
CFA® 2025 Level II Curriculum, Volume 1, Module 6.