FINRA SIE Q&A - in .pdf

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  • Exam Code: SIE
  • Exam Name: Securities Industry Essentials Exam (SIE)
  • PDF Version: V19.35
  • Q & A: 365 Questions and Answers
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NEW QUESTION: 1
Welchen Faktor sollte eine Bank berücksichtigen, bevor sie im Falle einer Untersuchung Informationen über einen Kunden mit ihrem Broker-Dealer-Partner teilt?
A. Gibt an, ob die Datenschutz- und Datenschutzbestimmungen es der Bank ermöglichen, die Informationen mit dem verbundenen Unternehmen zu teilen
B. Gibt an, ob beide Institute ein Konto haben oder gerade ein Konto für den Kunden eröffnen
C. Ob sich das Broker-Dealer-Tochterunternehmen auf die von der Bank durchgeführte Due Diligence verlassen kann
D. Gibt es einen Rechtshilfevertrag zwischen den beiden Institutionen?
Answer: A

NEW QUESTION: 2
HOTSPOT
For each of the following statements, select Yes if the statement is true. Otherwise, select No. Each correct
selection is worth one point.
Hot Area:

Answer:
Explanation:


NEW QUESTION: 3
With IP address scanning attack prevention, not only can it be used to prevent the ICMP packet destination address detection, it can also prevent the use of TCP / UDP scanning probe target addresses.
A. FALSE
B. TRUE
Answer: B

NEW QUESTION: 4
A threat intelligence analyst who works for a technology firm received this report from a vendor.
"There has been an intellectual property theft campaign executed against organizations in the technology industry. Indicators for this activity are unique to each intrusion. The information that appears to be targeted is R&D data. The data exfiltration appears to occur over months via uniform TTPs. Please execute a defensive operation regarding this attack vector."
Which of the following combinations suggests how the threat should MOST likely be classified and the type of analysis that would be MOST helpful in protecting against this activity?
A. APT and behavioral analysis
B. Polymorphic malware and secure code analysis
C. Insider threat and indicator analysis
D. Ransomware and encryption
Answer: C

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