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NEW QUESTION: 1
Which of the following does not fall under the category of "sales literature," as defined by FINRA?
A. PowerPoint slides that have been prepared to use in a seminar
B. an announcement containing some biological information on a registered representative who has just
joined the firm
C. Reprints of an article that appeared in a financial publication about a specific mutual fund
D. a research report mailed only to a fund's existing clients
Answer: B
Explanation:
An announcement containing some biological information on a registered representative
who has just joined the firm does not fall under the category of "sales literature," as defined by FINRA
since it does not constitute a sales solicitation. All of the other choices are regarded as "sales literature"
by FINRA.
NEW QUESTION: 2
A customer with a limited budget is planning to implement critical business unit. The company is projecting variable growth. The result of the system sizing, in an initial phase, is a solution containing eight servers with dual processors.
Which BladeSystem supports the customer's needs?
A. HP c7000 enclosure with one OA, redundant Ethernet switch, and fully populated with BL460c Gen8 servers
B. HP c7000 enclosure with one OA, redundant Ethernet switches, and eight BL460c Gen8 servers
C. HP c3000 enclosure with one OA, one Ethernet switch and fully populated with BL460c Gen8 servers
D. HP c3000 enclosure with one OA, redundant Ethernet switches, and eight BL460c servers
Answer: D
NEW QUESTION: 3
You are the project manager of your enterprise. You have identified new threats, and then evaluated the ability of existing controls to mitigate risk associated with new threats. You noticed that the existing control is not efficient in mitigating these new risks. What are the various steps you could take in this case?
Each correct answer represents a complete solution. Choose all that apply.
A. Deployment of a threat-specific countermeasure
B. Modify of the technical architecture
C. Apply more controls
D. Education of staff or business partners
Answer: A,B,D
Explanation:
Explanation/Reference:
Explanation:
As new threats are identified and prioritized in terms of impact, the first step is to evaluate the ability of existing controls to mitigate risk associated with new threats and if it does not work then in that case facilitate the:
Modification of the technical architecture
Deployment of a threat-specific countermeasure
Implementation of a compensating mechanism or process until mitigating controls are developed
Education of staff or business partners
Incorrect Answers:
D: Applying more controls is not the good solution. They usually complicate the condition.
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