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Session 1: Ethical and Professional Standards$ j( I( H) Q- |/ |2 {6 L; @
! C k- N$ ]( ?& E5 D. tReading 2-II: Standards of Professional Conduct & Guidance: Integrity of Capital Markets
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LOS B.: Market Manipulation.
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6 ` @8 i% \+ l, O; p4 X2 ^- l, ESteve Waters, a CFA Level I candidate, has decided to enter into a long position of Farmco stock. Since Farmco is thinly traded, Waters is concerned the order will overwhelm the liquidity of Farmco and the price will surge. Waters engages in a series of block trades in order to accomplish the purchase. According to Standard II(B), Market Manipulation, Waters has engaged in:3 n, I h2 U; } t& A
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发表于 2015-12-15 18:13:54
发表于 2019-5-20 13:22:13