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Exam Code: Series-7
Exam Name: General Securities Representative Qualification Examination (GS)
Vendor: FINRA

60 Questions & Answers
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NEW QUESTION: 1

A. Option A
B. Option D
C. Option C
D. Option B
Answer: D

NEW QUESTION: 2
IIA 지침에 따르면 다음 중 내부 감사자가 적절한 전문적 관리를 수행하는 것을 보여주는 시나리오는 무엇입니까?
투자를 감사 할 때 감사자는 자신이 익숙하지 않은 도구를 식별했습니다. 그는 자신의 샘플에서 그러한 유형의 투자를 선택하지 않기로 결정했습니다.
A. 한 감사관이 창고 직원이 수행한 재고 수를 검토하고 있었습니다. 중요하지 않은 양의 재고가 포함 된 트럭 한 대는 외부에 있었으며 감사관이 확인하지 않았습니다.
B. 감사원이 조직 재고의 상당 부분을 생산하는 공장을 방문했습니다. 그가 도착한 날 공장장이 아파서 감사관은 관리자와의 인터뷰 없이 보고서를 발표했습니다.
C. 적절한 평가를 수행하십시오.
D. 담당 감사관이 월말까지 테스트를 완료해야 했지만 일정이 늦었습니다. 그는 조직의 복잡한 영역에서 자신을 위해 작업을 수행 할 주니어 감사자를 지정했습니다.
Answer: C

NEW QUESTION: 3

A. Option A
B. Option E
C. Option D
D. Option C
E. Option G
F. Option F
G. Option B
Answer: G

NEW QUESTION: 4
You have a Microsoft 365 subscription that contains all the user data.
You plan to create the retention policy shown in the Locations exhibit. (Click the Locations tab.)

You configure the Advanced retention settings as shown in the Retention exhibit. (Click the Retention tab.)

The locations specified in the policy include the groups shown in the following table.

For each of the following statements, select Yes if the statement is true. Otherwise, select No.
NOTE: Each correct selection is worth one point.

Answer:
Explanation:

Explanation

References:
https://docs.microsoft.com/en-us/office365/securitycompliance/retention-policies


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