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NEW QUESTION: 1
In which of the following situations may exemption from compliance with Regulation T be granted?
A. a broker/dealer transacting less than 10% of its business through a member of a securities exchange
B. a broker/dealer who does not offer margin accounts
C. none of the above
D. a broker/dealer conducts business only in registered securities
Answer: C
Explanation:
none of the above. No broker/dealer is exempt. Reg T covers cash accounts as well as
margin accounts.

NEW QUESTION: 2
Case Study
This is a case study. Case studies are not timed separately. You can use as much exam time as you would like to complete each case. However, there may be additional case studies and sections on this exam. You must manage your time to ensure that you are able to complete all questions included on this exam in the time provided.
To answer the questions included in a case study, you will need to reference information that is provided in the case study. Case studies might contain exhibits and other resources that provide more information about the scenario that is described in the case study. Each question is independent of the other question on this case study.
At the end of this case study, a review screen will appear. This screen allows you to review your answers and to make changes before you move to the next sections of the exam. After you begin a new section, you cannot return to this section.
To start the case study
To display the first question on this case study, click the Next button. Use the buttons in the left pane to explore the content of the case study before you answer the questions. Clicking these buttons displays information such as business requirements, existing environment, and problem statements. If the case study has an All Information tab, note that the information displayed is identical to the information displayed on the subsequent tabs. When you are ready to answer a question, click the Question button to return to the question.
Background
Overview
Woodgrove Bank has 20 regional offices and operates 1,500 branch office locations. Each regional office hosts the servers, infrastructure, and applications that support that region.
Woodgrove Bank plans to move all of their on-premises resources to Azure, including virtual machine (VM)-based, line-of-business workloads, and SQL databases. You are the owner of the Azure subscription that Woodgrove Bank is using. Your team is using Git repositories hosted on GitHub for source control.
Security
Currently, Woodgrove Bank's Computer Security Incident Response Team (CSIRT) has a problem investigating security issues due to the lack of security intelligence integrated with their current incident response tools. This lack of integration introduces a problem during the detection (too many false positives), assessment, and diagnose stages. You decide to use Azure Security Center to help address this problem.
Woodgrove Bank has several apps with regulates data such as Personally Identifiable Information (PII) that require a higher level of security. All apps are currently secured by using an on-premises Active Directory Domain Services (ADDS). The company depends on following mission-critical apps: WGBLoanMaster, WGBLeaseLeader, and WGBCreditCruncher apps. You plan to move each of these apps to Azure as part of an app migration project.
Apps
The WGBLoanMaster app has been audited for transaction loss. Many transactions have been lost is processing and monetary write-offs have cost the bank. The app runs on two VMs that include several public endpoints.
The WGBLeaseLeader app has been audited for several data breaches. The app includes a SQL Server database and a web-based portal. The portal uses an ASP.NET Web API function to generate a monthly aggregate report from the database.
The WGBCreditCruncher app runs on a VM and is load balanced at the network level. The app includes several stateless components and must accommodate scaling of increased credit processing. The app runs on a nightly basis to process credit transactions that are batched during the day. The app includes a web-based portal where customers can check their credit information. A mobile version of the app allows users to upload check images.
Business Requirements
WGBLoanMaster app
The app audit revealed a need for zero transaction loss. The business is losing money due to the app losing and not processing loan information. In addition, transactions fail to process after running for a long time. The business has requested the aggregation processing to be scheduled for 01:00 to prevent system slowdown.
WGBLeaseLeader app
The app should be secured to stop data breaches. If the data is breached, it must not be readable. The app is continuing to see increased volume and the business does not want the issues presented in the WGBLoanMaster app. Transaction loss is unacceptable, and although the lease monetary amounts are smaller than loans, they are still an important profit center for Woodgrove Bank. The business would also like the monthly report to be automatically generated on the first of the month. Currently, a user must log in to the portal and click a button to generate the report.
WGBCreditCruncher app
The web-based portal area of the app must allow users to sign in with their Facebook credentials. The bank would like to allow this feature to enable more users to check their credit within the app.
Woodgrove Bank needs to develop a new financial risk modeling feature that they can include in the WGBCreditCruncher app. The financial risk modeling feature has not been developed due to costs associated with processing, transforming, and analyzing the large volumes of data that are collected. You need to find a way to implement parallel processing to ensure that the features run efficiently, reliably, and quickly. The feature must scale based on computing demand to process the large volumes of data and output several financial risk models.
Technical Requirements
WGBLoanMaster app
The app uses several compute-intensive tasks that create long-running requests to the system. The app is critical to the business and must be scalable to increased loan processing demands. The VMs that run the app include a Windows Task Scheduler task that aggregates loan information from the app to send to a third party.
This task runs a console app on the VM.
The app requires a messaging system to handle transaction processing. The messaging system must meet the following requirements:
* Allow messages to reside in the queue for up to a month.
* Be able to publish and consume batches of messages.
* Allow full integration with the Windows Communication Foundation (WCF) communication stack.
* Provide a role-based access model to the queues, including different permissions for senders and receivers.
You develop an Azure Resource Manager (ARM) template to deploy the VMs used to support the app. The template must be deployed to a new resource group and you must validate your deployment settings before creating actual resources.
WGBLeaseLeader app
The app must use Azure SQL Databases as a replacement to the current Microsoft SQL Server environment.
The monthly report must be automatically generated.
The app requires a messaging system to handle transaction processing. The messaging system must meet the following requirements:
* Require server-side logs of all of the transactions run against your queues.
* Track progress of a message within the queue.
* Process the messages within 7 days.
* Provide a differing timeout value per message.
WGBCreditCruncher app
The app must:
* Secure inbound and outbound traffic.
* Analyze inbound network traffic for vulnerabilities.
* Use an instance-level public IP and allow web traffic on port 443 only.
* Upgrade the portal to a Single Page Application (SPA) that uses JavaScript, Azure Active Directory (Azure AD), and the OAuth 2.0 implicit authorization grant to secure the Web API back end.
* Cache authentication and host the Web API back end using the Open Web Interface for .NET (OWIN) middleware.
* Immediately compress check images received from the mobile web app.
* Schedule processing of the batched credit transactions on a nightly basis.
* Provide parallel processing and scalable computing resources to output financial risk models.
* Use simultaneous computer nodes to enable high performance computing and updating of the financial risk models.
Key security area

You need to recommend a business continuity and disaster recovery solution for all of the existing line of business applications.
What are two ways to achieve the goal? Each correct answer presents a complete solution.
A. Create new virtual machines (VMs) in Azure and migrate the line of business applications to the VMs.
Migrate any backend databases to SQL Database.
B. Configure ExpressRoute to enable migration to Azure.
C. Install the Azure Backup agent on the virtual machines.
D. Migrate the virtual machines to the Hyper-V cluster and enable Hyper-V replica.
Answer: A,D
Explanation:
Explanation
References:
https://docs.microsoft.com/en-us/azure/site-recovery/site-recovery-hyper-v-site-to-azure

NEW QUESTION: 3
You need to use the Python language to build a sampling strategy for the global penalty detection models.
How should you complete the code segment? To answer, select the appropriate options in the answer area.
NOTE: Each correct selection is worth one point.

Answer:
Explanation:

Explanation

Box 1: import pytorch as deeplearninglib
Box 2: ..DistributedSampler(Sampler)..
DistributedSampler(Sampler):
Sampler that restricts data loading to a subset of the dataset.
It is especially useful in conjunction with class:`torch.nn.parallel.DistributedDataParallel`. In such case, each process can pass a DistributedSampler instance as a DataLoader sampler, and load a subset of the original dataset that is exclusive to it.
Scenario: Sampling must guarantee mutual and collective exclusively between local and global segmentation models that share the same features.
Box 3: optimizer = deeplearninglib.train. GradientDescentOptimizer(learning_rate=0.10)

NEW QUESTION: 4
Which two statements are true regarding single row functions?
A. TRIM: can be used to remove all the occurrences of a character from a string
B. INSTR: can be used to find only the first occurrence of a character in a string
C. CONCAT: can be used to combine any number of values
D. TRUNC: can be used with number and date values
E. SYSDATE: returns the database server current date and time
F. MOD: returns the quotient of a division
Answer: D,E
Explanation:
ROUND: Rounds value to a specified decimal TRUNC: Truncates value to a specified decimal MOD: Returns remainder of division SYSDATE is a date function that returns the current database server date and time.
Date-Manipulation Functions
Date functions operate on Oracle dates. All date functions return a value of the DATE data type except MONTHS_BETWEEN, which returns a numeric value. MONTHS_BETWEEN(date1, date2): Finds the number of months between date1 and date2. The
result can be positive or negative. If date1 is later than date2, the result is positive; if date1 is earlier than date2, the result is negative. The noninteger part of the result represents a portion of the month.
ADD_MONTHS(date, n): Adds n number of calendar months to date. The value of n must be an integer and can be negative.
NEXT_DAY(date, 'char'): Finds the date of the next specified day of the week ('char') following date. The value of char may be a number representing a day or a character string.
LAST_DAY(date): Finds the date of the last day of the month that contains date
The above list is a subset of the available date functions. ROUND and TRUNC number functions can also be used to manipulate the date values as shown below:
ROUND(date[, 'fmt']): Returns date rounded to the unit that is specified by the format model fmt. If the format model fmt is omitted, date is rounded to the nearest day.
TRUNC(date[, 'fmt']): Returns date with the time portion of the day truncated to the unit that is specified by the format model fmt. If the format model fmt is omitted, date is truncated to the nearest day.
The CONCAT Function
The CONCAT function joins two character literals, columns, or expressions to yield one larger character expression. Numeric and date literals are implicitly cast as characters when they occur as parameters to the CONCAT function. Numeric or date expressions are evaluated before being converted to strings ready to be concatenated. The CONCAT function takes two parameters. Its syntax is CONCAT(s1, s2), where s1 and s2 represent string literals, character column values, or expressions resulting in character values.
The INSTR(source string, search item, [start position], [nth occurrence of search item]) function returns a number that represents the position in the source string, beginning from the given start position, where the nth occurrence of the search item begins:
instr('http://www.domain.com', '.', 1, 2) = 18
The TRIM function literally trims off leading or trailing (or both) character strings from a given source string: