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NEW QUESTION: 1
Which of the following practices would be prohibited in connection with the sale of investment company
shares?
I. selling a client shares of a load stock fund when a no load stock fund with the same investment
objective exists
II. selling the client shares of five S&P 500 Index mutual funds, offered by different fund families
III. encouraging a client to swap his money between two funds in the same family without informing him
that this creates a taxable event
A. II and III only
B. I and II only
C. I, II, and III
D. I and III only
Answer: A
Explanation:
The scenarios described in Selections II and III only would be prohibited. Five S&P 500
Index mutual funds, even if offered by different fund families, all have the same investment
objective-duplicating the returns earned on the S&P 500 Index, and they will be invested in very similar
stocks. Therefore, the client is getting little or no more diversification of risk by investing in five funds over
investing in just one. The agent is just getting richer from more commissions. Encouraging a client to
swap his money between two funds in the same family without informing the client that this creates a
taxable event is not providing the client with "full and fair disclosure." It may well be in the client's best
interest to make the switch, but he needs to be made aware of the tax consequences. It is not necessarily
prohibited to sell a client shares of a load stock fund when a no load stock fund with the same investment
objective exists as long as the agent believes that the load stock fund is a better investment for his client.
NEW QUESTION: 2
Refer to the exhibit. Which option describes Cisco Unified CCE on the UCS B Fabric Interconnection pair to the upstream network connectivity?
A. Any of the design options can be deployed with Cisco Unified CCE, but only one of those two options can be deployed within the entire solution.
B. Have a straight links scheme from the UCS B FI pair to the upstream Layer 2 switches as shown in Figure 1-1.
C. Have a cross-connect links scheme from the UCS B FI pair to the upstream Layer 2 switches as shown in Figure 1-2.
D. Both design options can be deployed with Cisco Unified CCE and you can include both design options within the solution.
Answer: C
NEW QUESTION: 3
A. Option C
B. Option A
C. Option B
D. Option D
Answer: D
NEW QUESTION: 4
Which TWO of the following components should be setup using secure SSL communication as best practice in an IBM Security Identity Manager environment?
A. HTTP server
B. SMTP server
C. Report server
D. Adapters
E. Adapter installer
Answer: A,D
Explanation:
Reference:
http://www01.ibm.com/support/knowledgecenter/SSRMWJ_6.0.0.3/com.ibm.isim.doc_6.0.0.3/isim_Security_ Guide.pdf