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NEW QUESTION: 1
You are an agent with a broker-dealer and have learned of limited partnership interests being sold by a small company that is planning to come out with a product that you think is going to "wow" the market. You would like to get in on the action, but the minimum investment needed is $10,000, and you don't have that kind of dough lying around. You talk to your brother, who is also one of your clients, and get him interested in investing in the firm, too. The two of you decide to pull your money together, each putting in $5,000, and you agree to split any profits or losses.
Is this permitted?
A. Maybe. But it will require written consent from both your brother and your firm.
B. No. Under no circumstances can an agent enter a joint investment with a client under the guidelines of the Uniform Securities Act.
C. Yes, as long as your brother provides your firm with his written consent.
D. Yes. This is permitted since the agreement is between you and a family member.
Answer: A
Explanation:
Explanation/Reference:
Explanation: It may be permissible for you and your brother to open a joint account to invest in this partnership since he is a family member, but it will require the written consent of both your brother and your firm, and your firm is under no obligation to give its consent.
NEW QUESTION: 2
Given the following system requirements:
-Automatically assigns IP addresses
-Only the networkstatiosn can be connected
-Notify the network administrator of potentially malicious activity.
Which of the following must be implemented so satisfy these conditions? (Select Three)
A. Content Filtering
B. NIDS
C. URL cache
D. MAC Filtering
E. DNS
F. Load balancer
G. RADIUS
H. DHCP server
I. VPN
Answer: B,D,H
Explanation:
https://en.wikipedia.org/wiki/MAC_filteringhttps://en.wikipedia.org/wiki/Intrusion_detection_s ystemhttp://whatismyipaddress.com/dhcp
NEW QUESTION: 3
If you know that your firm is facing relatively poor prospects but needs new capital, and you know that investors do not have this information, signaling theory would predict that you would
A. be indifferent between issuing debt and equity.
B. postpone going into capital markets until your firm's prospects improve.
C. convey your inside information to investors using the media to eliminate the information asymmetry.
D. issue equity to share the burden of decreased equity returns between old and new shareholders.
E. issue debt to maintain the returns of equity holders.
Answer: D
Explanation:
Explanation/Reference:
Explanation:
The announcement of a stock offering is generally taken as a signal that the firm's prospects as seen by its management are not bright.
NEW QUESTION: 4
With the User Directory Software Blade, you can create R75 user definitions on a(n) _______Server.
A. SecureID
B. LDAP
C. NT Domain
D. Radius
Answer: B
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