本帖最后由 Kakashi_8 于 2015-7-16 14:02 编辑 % j- c: n# S3 j" \$ a' L. _! P/ O% L
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Question：6 Which of the following standards may be violated when investment advisors cover their own trading errors with compensating trades? A)
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| Prohibition Against Plagiarism.
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- V) J4 Q7 L6 D. U2 Z5 { | Disclosure of Conflicts to Clients and Prospects.
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| C)
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& O; D. l" F0 k+ c% {! t, `8 [4 P | Reasonable Basis and Representations. % V/ q3 p5 d. |! l
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| D)
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| Independence and Objectivity.( I: p& H0 H5 C! l
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Question：7 Which of the following is one of the four requirements for meeting fiduciary obligations with regard to soft dollar arrangements? Commissions: A) 2 |7 f2 y7 W5 A: V/ B8 d; t+ O
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| paid must be minimized. 3 s+ u3 g0 M& w5 L; a' z
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| cannot be greater than normal unless the trades being placed are in compensation for a trading error.
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| C)
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| paid must be reasonable in relation to the research and execution services provided.
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/ T+ b5 q; ]9 ^3 S | paid must be held in escrow for the benefit of the client.
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Question：8 Which of the following statements regarding heteroskedasticity is FALSE? A)
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| The assumption of linear regression is that the residuals are heteroskedastic.
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1 }0 O8 ?- j) {1 O1 Q- V | Heteroskedasticity may occur in cross-section or time-series analyses. 0 }, k3 e9 c* u4 t+ L$ W
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$ l- A9 g7 j0 z W | Heteroskedasticity results in an estimated variance that is too large and, therefore, affects statistical inference.
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| Conditional heteroskedasticity is the case in which the residuals are correlated with the values of the independent variables.
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Question：9 Given: Y = 2.83 + 1.5X What is the predicted value of the dependent variable when the value of an independent variable equals 2? A)
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| -0.55
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Question：10 The variance of 100 daily stock returns for Stock A is 0.0078. The variance of 90 daily stock returns for Stock B is 0.0083. What are the hypotheses to test whether these variances are different from one another? A) * \0 \% i7 P( |) U! M4 A; f& q
% T+ J8 W) r( f( b/ O | H0: σA2 = σB2 versus Ha: σA2 ≠ σB2.
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| H0: σA2 = σ02 versus Ha: σA2 ≠ σ02.
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| C)
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| H0: σA2 ≠ σB2 versus Ha: σA2 = σB2.
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+ Y; S2 G3 |+ [; I! p; S | H0: σA2 > σ02 versus Ha: σA2 < σ02. |
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发表于 2015-7-15 16:13:13
楼主
发表于 2018-6-4 09:55:12
