微信扫一扫
实时资讯全掌握
|
The SEC’s new stock-trading rule has just gone into effect. The SEC will give brokers a 10-day grace period, during which violators of the rule will be immediately notified and given a chance to remedy their situation to comply with the new rule. If a CFA Institute member unknowingly violates the rule and then remedies the situation within the 10-day grace period, has the member violated Standard I(A)? A. Yes, because the member did not maintain knowledge and know of the rule. B. No, because the member remedied the situation. C. No, because the member unknowingly broke the rule. |