2016-FRR Practice Questions

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NEW QUESTION: 1
When a broker-dealer hires a new agent, it must submit:
A. a U-5 form that includes information about the agent's name, address, education, employment history, and marital status.
B. a U-4 form that includes information about the agent's name, address, and employment history.
C. a U-4 form that includes information about the agent's name, address, education, and employment history.
D. an REP form that includes information about the agent's name, address, education, and employment history.
Answer: B
Explanation:
Explanation/Reference:
Explanation: When a broker-dealer hires a new agent, it must submit a U-4 form that includes information about the agent's name, address, and employment history. The form must also include information on any felony charges or securities-related misdemeanors, but it does not include anything about the agent's education or marital status. The U-5 form, which is filed when an agent is terminated, would include this additional information.

NEW QUESTION: 2
Die Gruppentechnik, die das Brainstorming durch einen Abstimmungsprozess verbessert, mit dem die nützlichsten Ideen für die Priorisierung eingestuft werden, heißt:
A. Delphi-Technik,
B. nominelle Gruppentechnik.
C. Mehrheitsregeltechnik.
D. Idee / Mind-Mapping-Technik.
Answer: B

NEW QUESTION: 3
システム管理者がAWS上でアプリケーションを管理しています。
アプリケーションはEC2にインストールされ、ユーザーはELBとAuto Scalingを設定しました。
将来の負荷の増加を考慮して、ユーザーは新しいサーバーがELBに登録されるように積極的に起動することを計画しています。
ユーザーはどのようにしてAuto Scalingでこれらのインスタンスを追加できますか？
A. Auto Scalingグループの下限を下げます
B. Auto Scalingグループの希望容量を増やす
C. Auto Scalingグループの上限を引き上げる
D. インスタンスを手動で起動し、その場でELBに登録する
Answer: B
Explanation:
A user can increase the desired capacity of the Auto Scaling group and Auto Scaling will launch a new instance as per the new capacity. The newly launched instances will be registered with ELB if Auto Scaling group is configured with ELB. If the user decreases the minimum size the instances will be removed from Auto Scaling. Increasing the maximum size will not add instances but only set the maximum instance cap.

NEW QUESTION: 4
Which of the following describes a purpose of an Architecture Compliance review?
A. Identifying the business transformation risks for an architecture project
B. Identifying stakeholders and their concerns
C. Identifying criteria for procurement activities
D. Identifying relationships between management frameworks
Answer: C