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NEW QUESTION: 1
When a broker-dealer hires a new agent, it must submit:
A. a U-4 form that includes information about the agent's name, address, and employment history.
B. an REP form that includes information about the agent's name, address, education, and employment history.
C. a U-4 form that includes information about the agent's name, address, education, and employment history.
D. a U-5 form that includes information about the agent's name, address, education, employment history, and marital status.
Answer: A
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
A. Option C
B. Option D
C. Option A
D. Option B
Answer: A,C
NEW QUESTION: 3
統合プラットフォームの接続オプションは次のうちどれですか？注：この質問には4つの正解があります。
A. SOAP
B. SFTP
C. Twitter
D. Google
E. Facebook
Answer: A,B,C,E
NEW QUESTION: 4
文章を完成させてください。 TOGAFは、優れた一連の原則に対して、完全、一貫性、安定性、理解可能性、および_______の5つの基準を定義しています。
A. 堅牢
B. 動的
C. 全面
D. 戦略的
E. アジャイル、
Answer: A
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