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NEW QUESTION: 1
Giant Investments mass mails a single-page, glossy flyer that lists the types of mutual funds it offers, along with a general explanation of what the investment objective of each type of fund is. The flyer also prominently provides Giant's contact information. Given these facts:
A. the brochure will be subject to spot checks by FINRA and will need to be kept on file.
B. a principal of Giant Investments must sign (or initial) and date the brochure, giving it his official approval.
C. None of the above statements is true.
D. Giant Investments must submit a copy of this brochure within 10 days of its initial distribution date to FINRA.
Answer: C
Explanation:
Explanation/Reference:
Explanation: Given the facts about the content of the flyer, none of the statements is true. If Giant Investments mass mails a flyer that only lists the types of mutual funds it offers along with a general explanation of what the investment objective of each type of fund is and Giant's contact information, it has issued only a generic advertisement as defined by Rule 135A of the Securities Act of 1933. As such, it is not considered an offer to sell and does not have to meet the requirements to which more specific advertising material is subject.
NEW QUESTION: 2
What is the purpose of the VPM-XML file?
A. It allows the administrator to use the VPM from any XML-capable web browser without accessing the Management
Console.
B. It stores the visual state of the VPM user interface.
C. It stores the policy statements that are generated from the VPM.
Answer: C
NEW QUESTION: 3
Drag and drop the descriptions about ASA operations from the left on the correct firewall mode on the right.
Answer:
Explanation:
NEW QUESTION: 4
Which of the following operations are performed during migration acceptance?
A. Accept an meeting
B. Transfer-to-maintenance training
C. Business expense accounting
D. Documentation transfer
Answer: A,B,D
