CFA报名问题，现在报名怎么这么麻烦还要回答8个问题，谁报名成功了。我怕回答错了。

	1	Suspension: Are you currently, or within the last five years have you been, the subject of disciplinary action by a regulatory organization or judicial court that resulted in a temporary suspension from: (a) participation in the financial services markets OR (b) association with a financial services institution?
		No
		Yes
	2	Expulsion: Are you currently, or within the last five years have you been, the subject of disciplinary action by a regulatory organization or judicial court that resulted in a permanent or indefinite suspension from: (a) participation in the financial services markets OR (b) association with a financial services institution?
		No
		Yes
	3	Prohibitions and Restrictions: In the last five years, has a regulatory organization or judicial court denied you trading privileges or prevented you from: (a) Trading on a securities or contract market, OR (b) Acting as a person required to be registered under a law or regulation, OR (c) Acting as an affiliated person or employee of a financial services institution?
		No
		Yes
	4	Convictions: (a) 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? (b) Have you ever been convicted of a crime punishable by one year or more in prison or jail (or otherwise defined as a felony)? If yes to (a) or (b) or both, you must provide the following information: date of the conviction, whether the crime was punishable by less than or more than one year in prison or jail, and a description of the conduct which caused the conviction.
		No
		Yes
	5	Damage Claims: In the last five years, has your professional conduct, in either a direct or supervisory capacity, been the subject of litigation, arbitration, a complaint, or other claim for damages that was resolved for an amount exceeding $20,000 (US)?
		No
		Yes
	6	Disciplinary Action: In the last five years have you been the subject of disciplinary action by a regulatory organization, judicial court, or financial services institution that resulted in withholding of commissions or a monetary fine in an amount exceeding $20,000 (US)?
		No
		Yes
	7	Assisting in a Violation: In the last five years, has a regulatory organization or judicial court found that your conduct caused another person or financial services institution to violate a securities or commodities related law, rule or regulation?
		No
		Yes
	8	Caused Suspension or Expulsion: In the last five years, has a regulatory organization or judicial court found that your conduct caused: (a) another person to be temporarily or permanently prevented from being associated with a financial services institution or participating in the financial services markets OR (b) a financial services institution to be temporarily or permanently prevented from participating in the financial services markets?
		No
		Yes
	1	Suspension: Are you currently, or within the last five years have you been, the subject of disciplinary action by a regulatory organization or judicial court that resulted in a temporary suspension from: (a) participation in the financial services markets OR (b) association with a financial services institution?
		No
		Yes
	2	Expulsion: Are you currently, or within the last five years have you been, the subject of disciplinary action by a regulatory organization or judicial court that resulted in a permanent or indefinite suspension from: (a) participation in the financial services markets OR (b) association with a financial services institution?
		No
		Yes
	3	Prohibitions and Restrictions: In the last five years, has a regulatory organization or judicial court denied you trading privileges or prevented you from: (a) Trading on a securities or contract market, OR (b) Acting as a person required to be registered under a law or regulation, OR (c) Acting as an affiliated person or employee of a financial services institution?
		No
		Yes
	4	Convictions: (a) 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? (b) Have you ever been convicted of a crime punishable by one year or more in prison or jail (or otherwise defined as a felony)? If yes to (a) or (b) or both, you must provide the following information: date of the conviction, whether the crime was punishable by less than or more than one year in prison or jail, and a description of the conduct which caused the conviction.
		No
		Yes
	5	Damage Claims: In the last five years, has your professional conduct, in either a direct or supervisory capacity, been the subject of litigation, arbitration, a complaint, or other claim for damages that was resolved for an amount exceeding $20,000 (US)?
		No
		Yes
	6	Disciplinary Action: In the last five years have you been the subject of disciplinary action by a regulatory organization, judicial court, or financial services institution that resulted in withholding of commissions or a monetary fine in an amount exceeding $20,000 (US)?
		No
		Yes
	7	Assisting in a Violation: In the last five years, has a regulatory organization or judicial court found that your conduct caused another person or financial services institution to violate a securities or commodities related law, rule or regulation?
		No
		Yes
	8	Caused Suspension or Expulsion: In the last five years, has a regulatory organization or judicial court found that your conduct caused: (a) another person to be temporarily or permanently prevented from being associated with a financial services institution or participating in the financial services markets OR (b) a financial services institution to be temporarily or permanently prevented from participating in the financial services markets?
		No
		Yes

[此贴子已经被作者于2008-2-9 23:31:18编辑过]