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Exam Code: SIE
Exam Name: Securities Industry Essentials Exam (SIE)
Vendor: FINRA

60 Questions & Answers
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NEW QUESTION: 1
The Content Engine provides extensible security parent-child relationships by means of what type of property placed on the meta data of custom object-valued properties?
A. Security Template.
B. Security Proxy Type.
C. Security Folder.
D. SecurityParent.
Answer: B

NEW QUESTION: 2
家具製造業者は、中央の倉庫に新しい消火スプリンクラーシステムを設置し、その資産に対する既存の火災保険をキャンセルしました。この一連の行動は、リスク対応戦略​​のどのような変化を最も反映しますか?
A. 受け入れから削減まで。
B. 共有から回避まで。
C. 共有から削減まで。
D. 受け入れから回避まで。
Answer: C

NEW QUESTION: 3
Scenario
Please read this scenario prior to answering the Question
You have been appointed as a consultant to the Chief Enterprise Architect of a multinational pharmaceutical corporation. The corporation includes 30 subsidiary companies with operations in over 60 countries and products sold in over 125 countries. It has major research and development sites in over 45 locations worldwide.
The management team is deeply committed to ensuring that the corporation is a world leader in socially responsible pharmaceutical development with a business strategy that focuses on profitability through environmentally friendly operating processes as well as a commitment to disease eradication.
The operations of the corporation are subject to legal and regulatory requirements for each country where they operate. The production of prescription pharmaceutical products has governmental controls that are strictly enforced and compliance is critical. Recently a competitor was heavily fined for violating the regulations in a country where it was conducting a clinical trial for a new regulated drug.
The Governing Board is concerned about the risks posed in this complex global environment. As a result the Chief Executive Officer (CEO) has appointed a Chief Compliance Officer (CCO) to be responsible for overseeing and managing compliance issues for the corporation. The CCO reports directly to the CEO.
The CCO has approved the expenditure of resources to establish an Enterprise Architecture program. He has requested to be informed about the status of projects that could impact regulatory compliance. He also wants the corporate legal staff and auditors to analyze all proposed architectures to ensure that they are within the legal guidelines for each country. In addition, the research organization should be able to see that the architecture is appropriate for its needs.
TOGAF 9 has been mandated as the framework for the development and evolution of the Enterprise Architecture practice. The Preliminary Phase has been completed to establish the enterprise architecture capability for this project.
Refer to the Scenario
You have been asked to recommend an approach that would enable the development of an architecture that addresses the needs of the Chief Compliance Officer, legal staff, auditors and the research organization.
Based on TOGAF, which of the following is the best answer?
A. You recommend that each project architecture activity is developed using a consistent modeling approach that is uniform across all architecture projects. Each architecture should be defined based on this fixed set of models so that all concerned parties can examine the models to ensure that their issues and concerns have been addressed.
B. You recommend that a stakeholder map be developed. This will allow the architects to define groups of stakeholders that share common concerns. A set of views should be defined to address the concerns for each group of stakeholders. Architecture models should then be created for each view to address the stakeholders' concerns.
C. You recommend that a set of models be created for each project architecture that can be used to ensure that the system will be compliant with the local regulations. Stakeholders should then view the models to verify that their concerns have been properly addressed.
D. You recommend that a special report be created for those groups that have sufficient power and level of interest. This report should summarize the key features of the architecture with respect to the particular location. Each of these reports should reflect the stakeholders' requirements.
Answer: C

NEW QUESTION: 4
You need to deploy an application, which is packaged in a container image, in a new project. The application exposes an HTTP endpoint and receives very few requests per day. You want to minimize costs. What should you do?
A. Deploy the container on Google Kubernetes Engine, with cluster autoscaling and horizontal pod autoscaling enabled.
B. Deploy the container on App Engine Flexible.
C. Deploy the container on Cloud Run on GKE.
D. Deploy the container on Cloud Run.
Answer: C


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