FINRA SIE Q&A - in .pdf

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  • Exam Code: SIE
  • Exam Name: Securities Industry Essentials Exam (SIE)
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NEW QUESTION: 1
Regarding POWER_FAIL, which of the following statements is wrong?
A. If the alarm is reported on the PIU board, it indicates that the subrack input power supply voltage is abnormal and the power supply power module is faulty.
B. If the alarm is reported on the board of the non-master board, the main power supply in the board fails and the backup power fails. This will cause service interruption.
C. If the alarm is reported on the board that is not the main control board, the main power supply in the board is invalid and the backup power supply is normal. This will cause the active/standby power supply to be switched without affecting services.
D. If the alarm is reported on the main control board, the system time will be lost after power failure, and the network data will be lost within 30 minutes.
Answer: B

NEW QUESTION: 2
Which of the following is the least relevant when preparing the internal audit activity's annual engagement plan?
A. Senior management's requests for internal audit engagements.
B. A rotation of internal audit engagements selected on a time basis.
C. The organization's current risk priority and exposure.
D. Coordination with the audit plans of the external auditor.
Answer: B

NEW QUESTION: 3
マネーロンダリング防止の専門家は、特定の支店での疑わしい取引レポートの提出が大幅に減少したことに注目しています。次のどのアクションが最も適切ですか?
A. ブランチ例外レポートを確認して、顧客プロファイルに従ってアクティビティの変化を判断します。
B. スタッフの記録を確認して、適切なトレーニングを受けていない未経験者が重要な立場にあるかどうかを確認します。
C. ブランチアクティビティレポートを分析して、ブランチアクティビティが減少したかどうかを判断します。
D. ブランチをウォッチリストに配置して、次の四半期のレビューを確実にします。
Answer: C

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