CMFAS RES 2A (Set 1)

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9 Apr 2026

CMFAS RES 2A Exam Question

Which type of market manipulation describes a situation whereby a broker trades the opposite side of a customer's order with the intention to profit from the customer's order?

a) Bucketing

b) Cornering

c) Monopolising

d) Inflating

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  • CMFAS RES 2A (Set 2)

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    9 Apr 2026

    CMFAS RES 2A Exam Question

    When a Cross Trade is received, the order for the leg which has the better price than the last traded price must be:

    a) entered

    b) cancelled

    c) cross-traded

    d) offset

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    CMFAS RES 3 Exam Question

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  • CMFAS RES 12B (Set 1)

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    A dealer receives a call from a client instructing them to purchase a security that the dealer knows is highly speculative and unsuitable for the client’s risk tolerance. However, the client insists on executing the trade. Which of the following is the most appropriate action?

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