Review the questions below. The correct answer to each question is highlighted in green. Click the question link to return to the relevant section of the study text.
1
Which of the following is the foundation of ethics for the financial services agent?
The Golden Rule
The legal system
Force
Compliance requirements
2
What makes a system of ethics essential?
A limited supply of goods
Because individuals exist in society
Its fairness
It is the only method to adjudicate disputes
3
The following is a fundamental method of resolving disputes.
Reason
Force
Both A and B
Neither A nor B
4
What is the common thread in unethical sales practices?
The practices were illegal
They misled the customer
They led to the customer’s monetary loss
They were forbidden by all insurers
5
Which of the following is NOT a necessary component of a profession?
Specialized knowledge
“Service before income” outlook
Opportunity for substantial income
A code of professional ethics
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