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NEW QUESTION: 1
Constance is an investment adviser representative. She told one of her clients that he should put at least
1 5% of his investment monies in a U.S. government bond mutual fund.
She explained that she believed that he required this percentage to meet his liquidity needs, and U.S.
government bond funds are risk-free. A few months later, the client needed to sell some of his fund shares
in order to pay some medical bills and was surprised to discover that he lost money on the sale because
the net asset value of the fund had dropped. Was Constance guilty of any securities violations?
A. It depends. If Constance realized that the client could lose money in a U.S. government bond fund,
then she is guilty of fraud, but if she did not herself realize that, then she is merely misinformed.
B. No. U.S. government bonds are often referred to as risk-free investments, so Constance made no
misstatement of fact in telling her client this.
C. Yes. Constance is guilty of fraud. She misled the client into thinking he couldn't lose any money if he
invested the money in a U.S. government bond mutual fund.
D. Yes. Constance should never recommend that a client invest such a high percentage of his investment
monies in a U.S. government bond mutual fund.
Answer: C
Explanation:
Yes. Constance is guilty of fraud. She misled her client into thinking he couldn't lose money if
he invested the money in a U.S. government bond fund. Although U.S. government bonds are referred to
as risk-free, this just means they are considered free from default risk. The value of the bonds-and,
therefore, the U.S. government bond funds-will change with changes in interest rates. As an investment
adviser representative, Constance should know this. Regardless of whether or not she does, she is guilty
of fraud simply by providing the misleading information. If she knew it and deliberately misled the client,
she is guilty of criminal fraud.
NEW QUESTION: 2
Which of the following BEST describes a 'Major Incident'?
A. An Incident which requires a large number of people to resolve
B. An Incident that is so complex that the Service Desk takes longer than five times the normal time to log it
C. An Incident which has a high impact on the business
D. An Incident that is so complex that it requires root cause analysis before any workaround can be found
Answer: C
NEW QUESTION: 3
Which user interfaces can you use to enter a customer compalint ticket? (2)
A. Customer segments perspective in the WCMS Cockpit.
B. Order Fulfillment Cockpit.
C. Customer Support Cockpit.
D. On the storefront using the Assisted Service Module.
Answer: C,D
NEW QUESTION: 4
データ分析アプリケーションがAmazonEC2インスタンスで実行されているSysOps管理者は、AmazonCloudWatchエージェントによって収集されたメトリクスにカスタムディメンションを追加する必要があります。
A. Amazon CloudWatchエージェントを使用してディメンションを抽出し、メトリクスを収集するカスタムシェルscnptを作成します
B. AWSLambda関数を作成してAWSCloudTrailからメトリクスを収集し、そのメトリクスをAmazon CloudWatchLogsグループに送信します。
C. Amazon EventBridge（Amazon CloudWatch Events）ルールを作成して、必要なカスタムディメンションを評価し、メトリックをAmazon Simple Notification Service（Amazon SNS）に送信します。
D. Amazon CloudWatchエージェント設定ファイルにappend_dimensionsフィールドを作成して、メトリクスを収集します。
Answer: A
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Feedbacks
Aalk - 2014-05-05 16:45:18
Plato - 2014-05-05 16:45:51
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Eleanore - 2014-09-28 16:36:48