FINRA SIE Q&A - in .pdf

  • SIE pdf
  • Exam Code: SIE
  • Exam Name: Securities Industry Essentials Exam (SIE)
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  • Q & A: 85 Questions and Answers
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  • Exam Code: SIE
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NEW QUESTION: 1
Which three statements about SXP are true?(Choose three)
A. Each VRF supports only one CTS-SXP connection.
B. The SGA ZBPF uses the SGT to apply forwarding decisions.
C. SeparateVRFs require different CTS-SXP peers, but they can use the same source IP addresses.
D. It resides in the control plane, where connections can be initiated from a listener.
E. To enable an access device to use IP device tracking to learn source device IP addresses,DHCP snooping must be configured.
F. Packets can be tagged with SGTs only with hardware support.
Answer: A,D,F

NEW QUESTION: 2
Making the investment decision involves subdividing the major steps into several concrete considerations. The process of the investment decision involves all of the following except:
A. Assessing the client's constraints of liquidity, investment horizon, regulations, taxes and other unique needs.
B. Determining the relevant constraints of security selection and investor preference along with accumulated investor experience and historical investment benchmarks.
C. Determining the relevant policies of asset allocation, diversification, risk positioning, tax positioning and income generation.
Answer: B
Explanation:
Making the investment decision involves subdividing the major steps into objectives, constraints and policies into concrete considerations. The process of the investment decision involves an assessment of the client's objective return requirements and risk tolerance as well as the client's constraints (e.g. liquidity, horizon, regulations, taxes and unique needs). Further, the investment decision considers relevant policies of asset allocation, diversification, risk positioning, tax positioning and income generation. The investment decision involving objectives, constraints and policies do not contend directly with the relevant constraints of security selection and investor preference or accumulated investor experience and historical investment benchmarks.

NEW QUESTION: 3
Which of the following options are available as global settings when setting the 'System change option' in SAP Systems (transaction SE06)? (Choose two)
A. Modifiable
B. Repaired objects modifiable
C. An option to allow changes to Repository and client-independent customizing object
D. Not modifiable
E. Original objects modifiable
Answer: A,D

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