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NEW QUESTION: 1
Bei der Untersuchung eines böswilligen Ereignisses standen nur sechs Tage Überwachungsprotokolle aus dem letzten Monat zur Verfügung. Welche Richtlinie sollte aktualisiert werden, um dieses Problem zu beheben?
A. Aufbewahrung
B. Berichterstattung
C. Sanierung
D. Wiederherstellung
Answer: A

NEW QUESTION: 2
Sarah Bean is a registered representative with NewWave Investments, a family of mutual funds. She has recommended one of NewWave's funds to a client and given him a prospectus. The prospectus provides information about the fund's breakpoints and indicates that an investment of $25,000 or more will lead to a reduced front-end load. The prospectus also clearly explains the details of a letter of intent. Sarah's client invests $23,000 in the fund then and there without even opening the prospectus.
Has Sarah violated any of FINRA's rules of conduct?
A. Yes. Sarah is required to explain the concepts of breakpoints and letters of intent to her client.
B. Yes. Sarah needed to tell her client that he would have to read through the prospect us to ensure he understood all aspects of the investment before she could take any money from him.
C. Yes. Sarah is not permitted to accept funds from a client without the presence of her immediate supervisor.
D. No. Sarah properly provided her client with a prospectus prior to selling him shares of the fund.
Answer: A
Explanation:
Explanation/Reference:
Explanation: Yes. Sarah is required to explain the concepts of breakpoints and letters of intent to her client and her failure to do so is a violation of FINRA's rules of conduct. A registered representative selling mutual fund shares is required to explain the salient facts contained in a fund's prospectus to a client before selling him the fund shares. Sarah's failure to do so is deemed "inconsistent with just and equitable principles of trade."

NEW QUESTION: 3

A. Option A
B. Option D
C. Option B
D. Option C
Answer: A
Explanation:
How do you block unknown applications on Cisco Web Security Appliance If Application Visibility Controls (AVC) are enabled (Under GUI > Security Services > Web Reputation and Anti- Malware), then we can block access based on application types like Proxies, File Sharing, Internet utilities.
We can do this under Web Security Manager > Access Policies > 'Applications' column <for the required access policy>.
Source:
http://www.cisco.com/c/en/us/support/docs/security/web-security-appliance/118486-technote- wsa- 00.html