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NEW QUESTION: 1
Ms. Mix always assures her clients that she will be calling them with quarterly recommendations for rebalancing their portfolios if there are any changes that she feels are appropriate. This has worked out well for her pocketbook since she has always been able to tweak each of her clients' investment portfolios a little each quarter by recommending that they redeem their shares in one fund that hasn't performed as well in the last quarter and use the proceeds to invest in another that has. Her clients feel cared for since she is in such regular contact with them.
Is Ms. Mix violating any securities regulations with this policy of hers?
A. It depends. There is no violation as long as her clients' portfolios are increasing in value.
B. Yes. Any recommendation that benefits a registered representative is deemed to be in violation of FINRA's rules regarding fair dealing.
C. Yes. Mutual funds are not designed to be short-term investments.
D. No. Ms. Mix is merely providing good service to her customers.
Answer: C
Explanation:
Explanation/Reference:
Explanation: Yes. Mutual funds are not designed to be short-term investments, and Ms. Mix should not be calling her customers quarterly with rebalancing recommendations. Even if one fund has outperformed another in a particular quarter, there is no guarantee that this will happen in the next quarter. This violation falls under FINRA's rules regarding the trading of mutual fund shares, even if the trading results in an increase in the clients' portfolio values. Ms. Mix can certainly call her clients each quarter to see if they have any questions or concerns or to say hello; her clients will still feel cared for. It is not a violation for a registered representative to make a recommendation that benefits her as well as her clients as long as the recommendation is made to benefit the client first and foremost.

NEW QUESTION: 2
Which two workflows have notification templates? (Choose two.)
A. new account
B. new person
C. password expiration
D. suspend person
E. change password
Answer: A,E

NEW QUESTION: 3
Which HP business notebook should be recommended for an executive who needs enterprise features and the most durable business UltrabookC?
A. HPZ1 workstation
B. HP EliteBook Folio 1000
C. HP 200 notebook
D. HP ElitePad
Answer: B

NEW QUESTION: 4
Refer to the exhibit.

Which statement is correct?
A. Packets marked with IP Precedence 5 that conforms to the committed rate will be marked with MPLS EXP 5 then transmitted.
B. This policy will police traffic at the ingress and egress directions.
C. This is a dual-rate policing example.
D. Packets marked with IP Precedence 5 that exceeds the committed rate will be marked with MPLS EXP 5.
Answer: A