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NEW QUESTION: 1
Which of the following is a true statement about FINRA rules regarding material that Giant Investments submits to its institutional investors?
I. FINRA requires that each member firm establish procedures for each institutional investor separately.
II. Procedures to be followed in distributing material to institutional investors must be in writing.
III. All institutional sales material must be submitted to a principal for approval prior to being used.
IV. Institutional sales material must be maintained by the member firm for at least three years from the date of last use.
A. I, II, and IV only
B. I and II only
C. I, II, and III
D. II and III only
Answer: A
Explanation:
Explanation/Reference:
Explanation: Only Statements I, II, and IV are true statements regarding FINRA rules on material that Giant submits to its institutional investors. FINRA requires that each member firm establish procedures for each institutional investor separately, and that the procedures to be followed in distributing material to institutional investors be established in writing. Institutional sales material must be maintained by the member firm for at least three years from the date of last use, but there is no requirement that institutional sales material be submitted to a principal for approval prior to being used.
NEW QUESTION: 2
Benjamin Franklin said that __ is not always a virtue; there are times when you must speak up for
yourself.
A. modesty
B. prudery
C. forthrightness
D. sham
E. pride
Answer: A
Explanation:
The context of this sentence suggests that "not speaking up for yourself" is not always good; in other
words, the missing term has something to do with self-effacement. Only modesty can fill this gap properly.
NEW QUESTION: 3
VxRailバージョン4.7以降、どの製品ライセンスオプションが変更されましたか？
A. vSphere
B. vSAN
C. vCenter
D. Mware Log Insight
Answer: B
NEW QUESTION: 4
When using Workplace XT to access a Legacy Workflow System, the IBM Case Foundation administrator does not see the Tools > Administration > Process Configuration Console.
What additional configuration change needs to be made to allow access to the Process Configuration Console?
A. Select a Process Engine Connection Point in Site Preferences
B. Add the user's account to the PWDesigner role
C. Add the user's account to the PWAdmins role
D. Add the user's account to the workflow_config_group
Answer: D
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