FINRA SIE Q&A - in .pdf

  • SIE pdf
  • Exam Code: SIE
  • Exam Name: Securities Industry Essentials Exam (SIE)
  • PDF Version: V19.35
  • Q & A: 365 Questions and Answers
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NEW QUESTION: 1
What should you use to implement the code quality restriction on the release pipeline for the investment planning applications suite?
A. a pre deployment approval
B. a trigger
C. a deployment gate
D. a post-deployment approval
Answer: A
Explanation:
Explanation
When a release is created from a release pipeline that defines approvals, the deployment stops at each point where approval is required until the specified approver grants approval or rejects the release (or re-assigns the approval to another user).
Scenario: Code quality and release quality are critical. During release, deployments must not proceed between stages if any active bugs are logged against the release.
References: https://docs.microsoft.com/en-us/azure/devops/pipelines/release/approvals/approvals

NEW QUESTION: 2
When is it acceptable to grant an extension of the time frame for a corrective action?
A. When the auditor cannot perform the follow-up audit as scheduled
B. When the corrective action plan requires more time than originally anticipated
C. When the auditee determines that the proposed corrective action is not cost-effective
D. When there has been a change in operators who perform the task
Answer: B

NEW QUESTION: 3
What does the ! mean when used at the beginning of a line in the username map file?
A. It indicates that it is a system group, not a username
B. That account has been disabled
C. To stop processing the file if there is a match
D. It is a comment
Answer: C

NEW QUESTION: 4
An organization uses a Kerberos-based LDAP service for network authentication. The service is also utilized for internal web applications. Finally access to terminal applications is achieved using the same authentication method by joining the legacy system to the Kerberos realm. This company is using Kerberos to achieve which of the following?
A. Single sign on
B. Rule-based access control
C. Mandatory access control
D. Trusted Operating System
Answer: A

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