Question

cfa报名怎么有9个职业问题?

Answer 1

高 顿 财 经CFA课程解答：

CFA报名的9个职业问题（Professional Conduct Inquiry），选择答案“NO"就好。

下面是这9个职业问题，可以熟悉下。

1 of 9
Suspension
Are you currently, or within the last five years have you been, temporarily suspended by a regulatory organization or judicial court from participation in the financial services markets or from association with a financial services institution?

Yes, I am currently or have recently been temporarily suspended.
No

2 of 9
Expulsion
Are you currently, or within the last five years have you been, permanently or indefinitely barred or expelled by a regulatory organization or judicial court from participation in the financial services markets or association with a financial services institution?

Yes, I am currently or have recently been permanently or indefinitely barred or expelled.
No

3 of 9
Trading Prohibitions and Restrictions
In the last five years, have you been denied trading privileges on a securities or contract market, been denied registration under a law or regulation, or prohibited from acting as an affiliated person or employee of a financial services institution?

Yes, I have recently been denied trading privileges, registration, or affiliation.
No

4 of 9
Convictions (More Severe)
Have you ever been convicted of a crime punishable by one year or more in prison or jail (or otherwise defined as a felony)?

Yes, I have been convicted of a crime punishable by more than one year (felony).
No

5 of 9
Convictions (Less Severe)
In the last five years, have you been convicted of a crime punishable by less than one year in prison or jail (or otherwise defined as a misdemeanor) involving lying, cheating, stealing or other dishonest conduct?

Yes, I have been convicted of a crime punishable by less than one year (misdemeanor) that involved dishonest conduct.
No

6 of 9
Damage Claims
In the last five years, has your professional conduct, in a direct or supervisory capacity, been the subject of a lawsuit, arbitration, complaint, or other claim for damages that was resolved for an amount exceeding US$ 20,000?

Yes, I have recently been the subject of legal action or a complaint for damages.
No

7 of 9
Disciplinary Action
In the last five years, has a regulatory organization, judicial court, or financial services institution withheld commissions or imposed a monetary fine on you in an amount exceeding US$ 20,000?

Yes, I have recently had commissions withheld or a fine imposed on me.
No

8 of 9
Assisting in a Violation
In the last five years, has a regulatory organization or judicial court found your conduct caused another person or financial services institution to violate a securities or commodities-related law, rule or regulation?

Yes, I was recently found to have caused another person to violate a securities or commodities-related regulation.
No

9 of 9
Caused Suspension or Expulsion
In the last five years, has a regulatory organization or judicial court found that your conduct caused another person or financial services institution to be temporarily suspended, or indefinitely or permanently barred or expelled, from participation in the financial services markets or association with a financial services institution?

Yes, I was recently found to have caused another person or institution to be temporarily or permanently suspended or expelled.
No

Answer 2

如果你是第一次注册报名就全选NO，切记，一定要选！这只是CFA一个流程，涉及到你的诚信问题，等你过了1级报2级同样也有类似的问答，你只要选择好的方面回答就行了！

Answer 3

CFA报名中要回答9个职业问题Professional Conduct Inquiry，考生只要回答“NO"就好。

Answer 4

是牵涉到你诚信的问题。

Answer 5

金
程 教 育 回答你的问题
CFA报名的9个职业问题（Professional Conduct Inquiry），选择答案“NO"就好。

下面是这9个职业问题，可以熟悉下。

1 of 9
Suspension
Are you currently, or within the last five years have you been, temporarily suspended by a regulatory organization or judicial court from participation in the financial services markets or from association with a financial services institution?

Yes, I am currently or have recently been temporarily suspended.
No

2 of 9
Expulsion
Are you currently, or within the last five years have you been, permanently or indefinitely barred or expelled by a regulatory organization or judicial court from participation in the financial services markets or association with a financial services institution?

Yes, I am currently or have recently been permanently or indefinitely barred or expelled.
No

3 of 9
Trading Prohibitions and Restrictions
In the last five years, have you been denied trading privileges on a securities or contract market, been denied registration under a law or regulation, or prohibited from acting as an affiliated person or employee of a financial services institution?

Yes, I have recently been denied trading privileges, registration, or affiliation.
No

4 of 9
Convictions (More Severe)
Have you ever been convicted of a crime punishable by one year or more in prison or jail (or otherwise defined as a felony)?

Yes, I have been convicted of a crime punishable by more than one year (felony).
No

5 of 9
Convictions (Less Severe)
In the last five years, have you been convicted of a crime punishable by less than one year in prison or jail (or otherwise defined as a misdemeanor) involving lying, cheating, stealing or other dishonest conduct?

Yes, I have been convicted of a crime punishable by less than one year (misdemeanor) that involved dishonest conduct.
No

6 of 9
Damage Claims
In the last five years, has your professional conduct, in a direct or supervisory capacity, been the subject of a lawsuit, arbitration, complaint, or other claim for damages that was resolved for an amount exceeding US$ 20,000?

Yes, I have recently been the subject of legal action or a complaint for damages.
No

7 of 9
Disciplinary Action
In the last five years, has a regulatory organization, judicial court, or financial services institution withheld commissions or imposed a monetary fine on you in an amount exceeding US$ 20,000?

Yes, I have recently had commissions withheld or a fine imposed on me.
No

8 of 9
Assisting in a Violation
In the last five years, has a regulatory organization or judicial court found your conduct caused another person or financial services institution to violate a securities or commodities-related law, rule or regulation?

Yes, I was recently found to have caused another person to violate a securities or commodities-related regulation.
No

9 of 9
Caused Suspension or Expulsion
In the last five years, has a regulatory organization or judicial court found that your conduct caused another person or financial services institution to be temporarily suspended, or indefinitely or permanently barred or expelled, from participation in the financial services markets or association with a financial services institution?

Yes, I was recently found to have caused another person or institution to be temporarily or permanently suspended or expelled.
No