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NEW QUESTION: 1
When a customer files a complaint with a broker-dealer,
I. the broker-dealer must submit the complaint to the firm's compliance department.
II. the broker-dealer must provide a prompt written response to the complainant.
III. the broker-dealer must temporarily suspend the activities of any agent named in the complaint.
A. I, II and III
B. I and III only
C. I and II only
D. II and III only
Answer: C
Explanation:
Only Selections I and II are true. When a customer files a complaint with a broker-dealer, the
broker-dealer is required to submit the complaint to the firm's compliance department, if any, and to
provide the complainant with a prompt written response. It is not necessary to suspend the activities of an
agent named in the complaint.
NEW QUESTION: 2
프로젝트 스폰서는 추가 작업과 외부 제공 업체의 새로운 결과물이 필요한 프로젝트 범위에 대한 중대한 변경을 승인합니다. 프로젝트 관리자는 어떻게 해야 합니까?
A. 계약 변경 제어 시스템을 사용하십시오.
B. 변경 요청을 시작하십시오.
C. 작업 성과 데이터를 검토하십시오.
D. 성능 검토를 수행하십시오.
Answer: A
NEW QUESTION: 3
A. No
B. Yes
Answer: B
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