A) This information was only disclosed following written authorization by the client.
B) This information is being requested by prosecuting attorneys in a court case involving the client.
C) This information is outside the scope of the confidential relationship.
D) This information is being forwarded to a business associate seeking sales leads.
The correct answer is: D)
While acknowledging the importance of preserving confidentiality (and sensitivity of financial information disclosed), the Standards of Practice Handbook discusses a number of exceptions to its rule - such as if the client authorizes a disclosure, or if such disclosure is legally required, or if the information is not material. On the other hand, Standard III-E is intended to prevent situations such as business associates sharing sales leads.
The correct answer is A) In a Roth IRA, there is no required distribution date as there is in a traditional IRA.
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The correct answer is C). SEC Release IA-1092 considers financial planners, pension consultants and sports and entertainment ...
The correct answer is a): Since Todd owns the stock and expects another stagnant year ahead, he would employ a covered call ...
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