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FINRA Test SIE Question - Valid Exam SIE Preparation, SIE Valid Exam Braindumps - Biometabolism

Exam Code:
SIE
Exam Name:
Securities Industry Essentials Exam (SIE)
Questions:
94 Q&A
Product Type:

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NEW QUESTION: 1
How often should tests and disaster recovery drills be performed?
A. At least once a quarter
B. At least once every 6 months
C. At least once every 2 years
D. At least once a year
Answer: D
Explanation:
Tests and disaster recovery drills should be performed at least once a year. The
company should have no confidence in an untested plan. Since systems and processes can
change, frequent testing will aid in ensuring a plan will succeed.
Source: HARRIS, Shon, All-In-One CISSP Certification Exam Guide, McGraw-Hill/Osborne, 2002,
chapter 9: Disaster Recovery and Business continuity (page 621).

NEW QUESTION: 2

A. Option C
B. Option A
C. Option D
D. Option B
Answer: C
Explanation:
The Auto Scaling group determines the health state of each instance periodically by checking the results
of the Amazon EC2 instance status checks. If the instance status description shows any other state other
than "running" or the system status description shows impaired, Auto Scaling considers the instance to be
unhealthy. Thus, it terminates the instance and launches a replacement.
Reference:
http://docs.aws.amazon.com/AutoScaling/latest/DeveloperGuide/as-maintain-instance-levels.html

NEW QUESTION: 3
Anna Vestor placed an order to sell 100 shares of Microsoft through the on-line site of her broker, GetErDone Broker-Dealers. GetErDone sold her shares for $24.59 a share and charged her a commission of $8.95. Among other things, the trade confirmation that Anna receives must stipulate:
I. the time and date of the transaction.
II. that GetErDone served as a principal in the transaction.
III. the number of shares sold and the price at which they were sold.
IV. the exchange or ECN on which the transaction was executed.
A. I, II and III only
B. I and III only
C. I, III, and IV only
D. I, II, III, and IV
Answer: B
Explanation:
Explanation/Reference:
Explanation: Among other things, the trade confirmation that Anna receives must stipulate the items described in Selections I and III only. The trade confirmation that Anna receives from GetErDone must stipulate the time and date of the transaction, the number of shares sold, and the price at which they were sold. The exchange or ECN on which the transaction was executed is not provided on the confirmation statement. Whether GetErDone acted as a principal or a broker in the transaction does need to be stipulated, but in this instance GetErDone acted as a broker, not a principal. GetErDone did not itself buy the shares from Anna.

NEW QUESTION: 4
どのオプションが802.1Qフレームの最大フレームサイズですか?
A. 1522 bytes
B. 64 bytes
C. 68 bytes
D. 1518 bytes
Answer: A

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