FINRA SIE Q&A - in .pdf

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  • Exam Code: SIE
  • Exam Name: Securities Industry Essentials Exam (SIE)
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NEW QUESTION: 1
A user in the company is in charge of various financial roles but needs to prepare for an upcoming audit. They use the same account to access each financial system. Which of the following security controls will MOST likely be implemented within the company?
A. Account lockout policy
B. Password complexity enabled
C. Account password enforcement
D. Separation of duties
Answer: D

NEW QUESTION: 2
Which of the following are the benefits of RPA? (Choose three.)
A. Robots are managed and scheduled locally on the desktop
B. Ad-hoc tools (such as user-managed spreadsheets) brought under central control
C. Complete eradication of processing errors
D. Ability to interact with any application
E. Processes can be automated using a record function
Answer: C,D,E

NEW QUESTION: 3
You are designing a Windows Presentation Foundation (WPF) client application that requests reports from a Windows Communication Foundation (WCF) Web service.
Users must be able to perform other tasks while the WCF Web service generates the report.
You need to recommend a message exchange pattern for the communication between the WPF application and the WCF Web service.
What are two possible message exchange patterns that will meet the requirements? (Each correct answer presents a complete solution. Choose two.)
A. Datagram without session
B. Duplex
C. Datagram with session
D. Request-Response
Answer: A,B

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