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Vendor: FINRA

Exam Code: SIE Dumps

Questions and Answers: 104

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NEW QUESTION: 1
Which three elements are necessary to create a Background Check form to be used in a candidate file?
(Choose three.)
A. Select Candidate File as the file type.
B. Select Background Check as the form type.
C. Associate staffing types with the file.
D. Select the fields that will be used in the form.
E. Associate configuration profiles with the file.
Answer: C,E

NEW QUESTION: 2
When is a broker allowed to assume a deal is closed:
A. When the principals give a written undertaking for all deals done at the end of the day.
B. When both back offices acknowledge the deal.
C. When an acknowledgement is received from the principal that the deal is done.
D. When one of the principals confirms the deal.
Answer: C

NEW QUESTION: 3
Which action takes place when a file checkpoint occurs?
A. All buffers for a checkpointed file that were modified before a specific SCN are written to disk by DBWn and the SCN
is stored in the control file.
B. The Log Writer process (LGWR) writes all redo entries in the log buffer to online redo log files.
C. The Database Writer process (DBWn) writes all dirty buffers in the buffer cache to data files.
D. The checkpoint position is advanced in the checkpoint queue.
Answer: C

NEW QUESTION: 4

A. Option B
B. Option D
C. Option A
D. Option C
Answer: A


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