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NEW QUESTION: 1
Which of the following descriptions is not a key capability feature of VDC:
A. Min-level institution VDC and issue
B. No isolation between VDC
C. VDC independent resource management
D. VDC is self-operated, autonomous business issuance, can be measured
Answer: B
NEW QUESTION: 2
Which one of the following best describes the purpose of a Change Request?
A. To act as a deliverable container for artifacts created during a project
B. To request a dispensation or to kick-start a further cycle of architecture work
C. To ensure that the results of a Compliance Assessment are distributed to the Architecture Board
D. To ensure that information is communicated to the right stakeholder at the right time
E. To review project progress and ensure the implementation is inline with the objectives
Answer: B
NEW QUESTION: 3
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, education, and employment history.
B. a U-5 form that includes information about the agent's name, address, education, employment history, and marital status.
C. an REP form that includes information about the agent's name, address, education, and employment history.
D. a U-4 form that includes information about the agent's name, address, and employment history.
Answer: D
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.