Without referring to your notes... (Ethics)

  1. Safe Harbor was created: a) 1965 b) 1975 c) 1976 2. Is this a fundamental principle of the soft dollar standards? Uniform disclosure and record keeping concerning soft dollar arrangements. 3. True or False? The three level analysis to determine whether a product is permissible research is: Step 1. Define the product or service. Step 2. Mixed use analysis. Step 3. Determine usage.
  1. B 2. Yes 3. False. Step 3 comes before step 2.