FINRA SIE Q&A - in .pdf

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  • Exam Name: Securities Industry Essentials Exam (SIE)
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NEW QUESTION: 1
You work for a telecommunications company that uses Microsoft Azure Stream Analytics.
You have data related to incoming calls.
You need to group the data in the following ways:
* Group A: Every five minutes for a duration of five minutes
* Group B: Every five minutes for a duration of 10 minutes
Which type of window should you use for each group? To answer, drag the appropriate window types to the correct groups. Each window type may be used once, more than once, or not at all. You may need to drag the split bar between panes or scroll to view content.
NOTE: Each correct selection is worth one point.

Answer:
Explanation:

Explanation

Group A: Tumbling
Tumbling Windows define a repeating, non-overlapping window of time.
Group B: Hopping
Like Tumbling Windows, Hopping Windows move forward in time by a fixed period but they can overlap with one another.

NEW QUESTION: 2
An IS auditor reviewing database controls discovered that changes to the database during normal working hours were handled through a standard set of procedures. However, changes made after normal hours required only an abbreviated number of steps. Inthis situation, which of the following would be considered an adequate set of compensating controls?
A. Use the DBA user account to make changes, log the changes and review the change log the following day.
B. Make changes to the database after granting access to a normal user account.
C. Use the normal user account to make changes, log the changes and review the change log the following day.
D. Allow changes to be made only with the DBA user account.
Answer: A
Explanation:
The use of a database administrator (DBA) user account is normally set up to log all changes made and is most appropriate for changes made outside of normal hours. The use of a log, which records the changes, allows changes to be reviewed. The use ofthe DBA user account without logging would permit uncontrolled changes to be made to databases once access to the account was obtained. The use of a normal user account with no restrictions would allow uncontrolled changes to any of the databases. Logging would only provide information on changes made, but would not limit changes to only those that were authorized. Hence, logging coupled with review form an appropriate set of compensating controls.

NEW QUESTION: 3
What are the three domain analysis methods?
A. Value, range, reference table
B. Value, pattern, reference table
C. Value, range, completeness
D. Format, range, reference table
Answer: A
Explanation:
Explanation/Reference:
Reference: https://www.scribd.com/doc/125259952/IBM-infoSphere-information-analyzer-v8-7-User-guide (page 82)

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