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Exam Code: SIE
Exam Name: Securities Industry Essentials Exam (SIE)
Vendor: FINRA

60 Questions & Answers
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NEW QUESTION: 1
There are three domains of security covered by Article 32 of the GDPR that apply to both the controller and the processor. These include all of the following EXCEPT?
A. Consent management and withdrawal.
B. Preventative security.
C. Incident detection and response.
D. Remedial security.
Answer: A

NEW QUESTION: 2
レガシーアプリケーション(Web Dynpro / ABAPトランザクション)を設定して、中央ハブ配置のSAP fiori Launchpadで実行します。
どのような構成手順が必要ですか?
この質問には2つの正解があります。
応答:
A. Define the HTTPS and RFC connections to the BES in the FES system
B. Activate the ICF nodes for web Dynpro ABAP in the FES system
C. Define HTTPS and RFC connections to the FES system in the BES system.
D. Activate the ICF nodes for web dynpro ABAP in the BES system.
Answer: A,D

NEW QUESTION: 3
Which of the following entities must sign a "consent to service of process," thereby allowing the Administrator to receive legal documents that are meant to be served to the entity in place of that entity?
I. agents
II. investment advisers
III. investment adviser representatives
IV. broker-dealers
A. I and IV only
B. II and IV only
C. I, II, III, and IV
D. II and III only
Answer: C
Explanation:
Explanation/Reference:
Explanation: Agents, investment advisers, investment adviser representatives, and broker-dealers must all sign a consent to service of process, allowing the Administrator to receive legal documents in their stead.
The consent to service of process must accompany the application for registration with the state or the documentation provided with a notice filing when permitted.

NEW QUESTION: 4
Der erwartete Geldwert (EMV) wird nach welcher Gleichung berechnet?
A. Wert jedes möglichen Ergebnisses multipliziert mit der Eintrittswahrscheinlichkeit
B. Wert jedes möglichen Ergebnisses multipliziert mit der Wahrscheinlichkeit des Nichtauftretens
C. Multiplizieren Sie den Wert jedes möglichen Ergebnisses mit der Wahrscheinlichkeit des Nichtauftretens und addieren Sie die Produkte
D. Multiplizieren Sie den Wert jedes möglichen Ergebnisses mit der Eintrittswahrscheinlichkeit und addieren Sie die Produkte
Answer: D


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