Which of the following actions is most likely a violation of the Standard on fair dealing? A. A…

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Which of the following actions is most likely a violation of the Standard on fair dealing?A. A portfolio manager allocates IPO shares to all client accounts, including her brother's fee-based retirement account.B. An investment firm routinely begins trading for its own account immediately after announcing recommendation changes to clients.C. After releasing a general recommendation to all clients, an analyst calls the firm's largest institutional clients to discuss the recommendation in more detail.
The Standard regarding suitability most likely requires that:A. an adviser must analyze an investment's suitability for the client prior to recommending or acting on the investment.
B. a member or candidate must decline to carry out an unsolicited transaction that she believes is unsuitable for the client.
C. when managing a fund to an index, a manager who is evaluating potential investments must consider their suitability for the fund's shareholders.
Which of the following is most likely a recommended procedure for complying with the Standard on performance presentation?
A. Exclude terminated accounts from past performance history.B. Present the performance of a representative account to show how a composite has performed.C. Consider the level of financial knowledge of the audience to whom the performance is presented.

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