题目内容

Use the following data to calculate the standard deviation about the expected return: 50% chance of a 12% return 30% chance of a 10% return 20% chance of a 15% return

A. 2.5%.
B. 3.0%.
C. 1.7%.
D. 3.3%.

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Which of the following statements is FALSE?

A. The interquartile range contains half the data points in the data set.
B. The interquartile range is set at half the distance between the largest and smallest number in the data set.
C. If the median is on the left side of the interquartile range the data is skewed to the left.
Downside outliers are those observations below the first quartile less 1.5 times the interquartile range.

There are 35 observations arrayed in a stem and leaf display. What is the mode and median of this data? 5 | 0113566689 6 | 00222235567889 7 | 00223456678

A. 62 and 65.
B. 60 and 63.
C. 65 and 62.
D. 62.5 and 62.5.

With respect to Standard III(E), Responsibilities of Supervisors, compliance supervisors and compliance officers should do all of the following EXCEPT:

A. disseminate the compliance procedures.
B. incorporate a professional conduct evaluation into the employee’s performance review.
C. hold hearings with representatives from the firm to decide whether violatio ns have occurred and the level of severity of the violations.
D. review employee actions to ensure compliance and identify violators.

Which of the following statements regarding employee/employer relationships is FALSE?

A written contract may or may not exist between employer and employee.
B. The employer has the power to control and direct the details of how work is to be performed.
C. There must be monetary compensation for an employer/employee relationship to exist.
D. An employee is someone in the service of another.

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