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