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NEW QUESTION: 1
Mr. Schaker hasn't been seeing a lot of clients these days with the recent market downturn-which means he hasn't been generating any commissions, and commissions are his bread and butter. So, Mr. Schaker does some Googling on his computer and notes that a prominent family of load funds has just introduced a new global fund. Scribbling the name and contact information of the fund family on his notepad, he begins calling his existing clients and promoting the new fund, encouraging his clients to redeem some shares in their existing funds to invest in this fund.
Has Mr. Schaker violated any securities laws?
A. Yes. Mr. Schaker is recommending the fund to his existing clients to benefit himself, not them.
B. No. In FINRA's rules regarding fair dealing with customers, the SRO clearly states that "This does not mean that legitimate sales efforts in the securities business are to be discouraged. . . "
C. No. Research indicates that new funds tend to offer abnormally high returns for the first 12 months of their existence, so Mr. Schaker is doing his clients a favor even if he himself stands to profit.
D. Yes. A registered representative should always refrain from recommending shares of a load fund; trades involving load funds should always be "unsolicited."
Answer: A
Explanation:
Explanation/Reference:
Explanation: Yes. Mr. Schaker has violated securities laws in recommending a fund that he doesn't even seem to have researched very well to his existing clients, some of whom may not be suitable candidates for a global fund, which invests in foreign as well as domestic securities. Although FINRA's rules do indicate that it is not trying to stymie legitimate sales efforts, Mr. Schaker's actions do not fall within this category. There is no research that indicates new funds tend to offer abnormally high funds for the first 12 months of their existence, and if Mr. Schaker would have implied that, he could be up on criminal fraud charges. There is no law, however, that prohibits a registered representative from recommending a load fund to a client, as long as there is a legitimate reason for doing so.

NEW QUESTION: 2
A college intern is asking you which of the vCenter Operations Manager's Super Metrics helps with long-term analysis of your environment. What do you tell her?
A. Health
B. Risk
C. Efficiency
D. Capacity
Answer: D
Explanation:
Reference:http://www.vmware.com/support/vcops/doc/vcops-57-vapp-release-notes.html

NEW QUESTION: 3
You need to design the image processing solution to meet the optimization requirements for image tag data.
What should you configure? To answer, drag the appropriate setting to the correct drop targets.
Each source may be used once, more than once, or not at all. You may need to drag the split bar between panes or scroll to view content.
NOTE: Each correct selection is worth one point.

Answer:
Explanation:

Explanation

Tagging data must be uploaded to the cloud from the New York office location.
Tagging data must be replicated to regions that are geographically close to company office locations.

NEW QUESTION: 4
"17. UC has a requirement that, on any individual Quote, the quantity of Product Family A can never exceed the quantity of Product Family B.
The Admin is setting up a Product Rule with the following:
(Note: not part of question: See salesforce help article. Product family A (Printers) can not exceed quantity of product family B (Toner) (You need enough toner or more to operate the quantity of printers.)
.Summary Variable A: Sums the Quantity of Product Family A (Printers) .Summary Variable B: Sums the Quantity of Product Family B (Toner) Which two error condition setups will meet this requirement?
Choose 2 answers
A. -Summary Variable A goes in the Tested Variable field \/ O -Summary Variable B goes in the Filter Variable field -Operator is set to Greater than
B. -Summary Variable A goes in the Filter Variable field \/ O -Summary Variable B goes in the Tested Variable field -Operator is set to Less than
C. -Summary Variable A goes in the Filter Variable field -Summary Variable B goes in the Tested Variable field -Operator is set to Less or Equals
Answer: A,B