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NEW QUESTION: 1
A-2-Z Associates advertises itself as a full service brokerage firm that will buy and sell securities for its
clients, as well as provide investment advice to them. Its brochure provides a variety of plans to which a
client can subscribe. The basic plan is the cheapest and allows the client a maximum number of trades
per month for a specified fee. Another, slightly more expensive, plan provides the client with the same
maximum number of trades per month, but the client also receives a personalized quarterly review of his
portfolio along with advice for restructuring his portfolio based on such factors as current market
conditions and specific industry or company information. The most expensive plan is one in which the
client is assigned to an individual portfolio manager, who will take total responsibility for the asset
allocation of the client's portfolio and will provide the client with monthly reports. Based on the services
A-2-Z provides, it must register with the state as:
A. an investment adviser representative.
B. both a broker-dealer and an investment adviser.
C. an investment adviser.
D. a broker-dealer.
Answer: B
Explanation:
Based on the services A-2-Z provides, it must register with the state as both a broker-dealer
and an investment adviser. It is receiving compensation as a broker-dealer for executing purchases and
sales of securities for its clients under its basic plan, but it is receiving additional compensation for acting
as an investment adviser under the two higher level plans.
NEW QUESTION: 2
A company runs a web service on Amazon EC2 instances behind an Application Load Balancer The instances run in an Amazon EC2 Auto Scaling group across two Availability Zones The company needs a minimum of four instances at all limes to meet the required service level agreement (SLA) while keeping costs low.
If an Availability Zone fails, how can the company remain compliant with the SLA?
A. Change the Auto Scaling group launch configuration to use a larger instance type
B. Change the Auto Scaling group to use six servers across three Availability Zones
C. Add a target tracking scaling policy with a short cooldown period
D. Change the Auto Scaling group to use eight servers across two Availability Zones
Answer: D
NEW QUESTION: 3
HOTSPOT
Answer:
Explanation: