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NEW QUESTION: 1
Under the Model Code, if a broker shouts "done" or "mine" at the very moment a dealer shouts "off":
A. No deal is done and the broker should inform both counterparties accordingly.
B. The deal is done and the broker should inform both counterparties accordingly.
C. The matter should be resolved in consultation with senior management of the 3 institutions.
D. The ACI's Committee for Professionalism will investigate and advise accordingly.
Answer: B
NEW QUESTION: 2
The Securities Act of 1933 provides for:
A. regulation of new issues of securities
B. extension of credit in the securities industry
C. establishment of the Securities and Exchange Commission
D. all of the above
Answer: A
Explanation:
regulation of new issues of securities. The first two choices are covered in the Securities and
Exchange Act of 1934.
NEW QUESTION: 3
What are the three elements of informed consent?
A. Capacity, age, voluntariness
B. Informed, age, voluntariness
C. No coercion, approval, voluntariness
D. Capacity, informed, voluntariness
Answer: D
NEW QUESTION: 4
Which is TRUE about Static Code Analysis using CodeScan?
A. CodeScan is only recommended to check Apex classes.
B. You can generate a default ruleset from Copado.
C. You need to have a CodeScan account.
D. All are correct.
Answer: C
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