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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 am happy to say that I passed! Your study notes certainly helped prepare me for what was the most difficult exam I had ever taken.
Andrea Schildbach
Learning Outcome Statements
calculate and interpret annualized return measures and continuously compounded returns, and describe their appropriate uses
CFA® 2025 Level I Curriculum, Volume 1, Module 1.