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NEW QUESTION: 1
GoForBroke Broker-Dealers has distributed a list of ten mutual funds that it suggests are top-notch funds
worthy of recommendation by GoForBroke's agents. Coincidentally, all the funds on this list also happen
to be those that execute the majority of their trades through GoForBroke. Is GoForBroke in violation of
any FINRA rules?
A. No. As long as the list consists of more than five funds, GoForBroke has not violated any FINRA rules.
B. No. GoForBroke only distributed a list of fund names; it did not offer its agents any form of additional
compensation for selling the funds on that list.
C. Yes. GoForBroke is prohibited from selling shares of mutual funds that execute their trades through the
broker-dealer. This rule is in place to avoid conflicts of interest.
D. Yes. By distributing a list naming specific funds that coincidentally all happen to execute a lot of trades
through GoForBroke, the broker-dealer is violating FINRA's anti-reciprocal rule.
Answer: D
Explanation:
Yes. By distributing a list naming specific funds that coincidentally all happen to execute a lot
of trades through GoForBroke, the broker-dealer is violating FINRA's anti-reciprocal rule. Even though
GoForBroke does not appear to be offering its agents any additional compensation for selling shares of
these funds, it is promoting them above other funds that aren't conducting as many trades through the
broker-dealer. Recommendations should be based on a specific client's needs, not on the money the fund
generates for the broker-dealer. There is no rule that prohibits a broker-dealer from selling shares of
mutual funds that execute their trades through them.
NEW QUESTION: 2
Which client-requested scenario is NOT possible to configure natively within an Update Rule in Eloqua?
A. the contract's Job Role contact field with the value listed within the contact's Title field
B. the contract's Job Role contact field with the value matched to the Contact's Title field within a lookup table
C. the contact's Job Role contact field with the value listed in the Role field of a linked custom object record
D. the contact's Job Role contact field with a static value based on the value within their Title field
Answer: D
NEW QUESTION: 3
You are planning to use WebLogic JMS for implementing my enterprise messaging architecture. Which messaging paradigm is invalid in this context? (Choose the best answer.)
A. Datagram messaging
B. Point to Point messaging
C. Publish Subscribe messaging
D. Persistent messaging
Answer: A
Explanation:
Explanation/Reference:
Incorrect Answers:
A, B: JMS supports two messaging models: point-to-point (PTP) and publish/subscribe (pub/sub).
D: As per the "Message Delivery Mode" section of the JMS Specification, messages can be specified as persistent or non-persistent.
Reference: http://docs.oracle.com/cd/E12840_01/wls/docs103/jms/fund.html