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NEW QUESTION: 1
Sie möchten Journaleinträge in einem bestimmten Zeitraum buchen. Welche Bedingungen müssen erfüllt sein? Es gibt 2 richtige Antworten auf diese Frage
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B. Der Saldovortrag auf das neue Geschäftsjahr muss stattgefunden haben.
C. Sie müssen über eine spezielle Berechtigung zum Posten in bestimmten Zeiträumen verfügen.
D. Die Sonderperiode muss für die Buchung in der Periodenkontrolle geöffnet sein.
Answer: A,D
NEW QUESTION: 2
Broker-dealer Small & Associates has received a complaint about one of its agents, Mr. Ari Gaunt. Small
& Associates is required to
A. immediately forward the complaint to the Administrator of any state in which Mr. Gaunt is a registered
agent.
B. call the client who complained and inform him of the disciplinary action that will be taken against Mr.
Gaunt.
C. keep the complaint in Mr. Gaunt's employee file as long as Mr. Gaunt remains employed with the firm.
D. provide the client with a written response to the complaint.
Answer: D
Explanation:
Small and Associates must provide the client a written response to the complaint about Mr.
Ari Gaunt. The broker-dealer does not need to forward the complaint immediately to the state
Administrator, nor is it required to keep the complaint in Mr. Gaunt's employee file indefinitely.
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Host Checker pre-defined rules are provided by which security company?
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Aalk - 2014-05-05 16:45:18
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