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d. For confidentiality reasons, personal transactions and holdings should not be reported to employersunless mandated by regulatory organizations.This question involves Standard III (B)Fair Dealing.
Reference: Code of Ethics and Standards of Professional Conduct8.Which one of the following actions will help to ensure the fair treatment of brokerage firm clientswhen a new investment recommendation is made?
Reference: Code of Ethics and Standards of Professional Conduct9.Which of the following is a correct statement of a member’s or candidate’s duty under the Code andStandards?
Reference: Code of Ethics and Standards of Professional Conduct10.Implied volatility of an option may ________ while (when) all other pricing factors impacting theprice of an option may __________:
Reference: MTA, CMT Level II Curriculum (2015), Chapter 1, pp.2011.If ABC Corp. is scheduled to report quarterly earnings the evening of July 22 (after market close), onwhich of the following days will stock options (calls/puts) of ABC Corp. reflect highest impliedvolatility?
12.The inverse relationship between VIX and the direction of stock prices is a result of:
Reference: MTA, CMT Level II Curriculum (2015), Chapter 2, pp.37
13.A CBOE VIX reading of 15 implies market expectations of a _____ move in the S&P 500 over thenext 30 days:
Reference: MTA, CMT Level II Curriculum (2015), Chapter 2, pp.3814.The chart below shows the NYSE Composite index (top panel) and the NYSE New HighsNewLows index (in the bottom panel). Which of the following is a valid interpretation of the chart?
15.The “Percentage of stocks above their 50-day MA” breadth indicator gives its trading signals by:
Reference: MTA, CMT Level II Curriculum (2015), Chapter 24, pp.30216.As per the contrary opinion theory, a high degree of consensus precedes:
17.When tracking advisory opinion, it is important to remember that newsletter writers are most bullishat ________ and most bearish at ________.
Reference: MTA, CMT Level II Curriculum (2015), Chapter 26, pp.29018.A combination of declining volume and rising price action is normally associated with:
Reference: MTA, CMT Level II Curriculum (2015), Chapter 33, pp.58719.Which of the following observations in volume and open interests is valid when fresh short sellinghas started emerging and prices are declining?

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