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NEW QUESTION: 1
GoForBroke Broker-Dealers has distributed a list of ten mutual funds that it suggests are top-notch funds worthy of recommendation by GoForBroke's agents. Coincidentally, all the funds on this list also happen to be those that execute the majority of their trades through GoForBroke.
Is GoForBroke in violation of any FINRA rules?
A. No. GoForBroke only distributed a list of fund names; it did not offer its agents any form of additional compensation for selling the funds on that list.
B. No. As long as the list consists of more than five funds, GoForBroke has not violated any FINRA rules.
C. Yes. By distributing a list naming specific funds that coincidentally all happen to execute a lot of trades through GoForBroke, the broker-dealer is violating FINRA's anti-reciprocal rule.
D. Yes. GoForBroke is prohibited from selling shares of mutual funds that execute their trades through the broker-dealer. This rule is in place to avoid conflicts of interest.
Answer: C
Explanation:
Explanation/Reference:
Explanation: Yes. By distributing a list naming specific funds that coincidentally all happen to execute a lot of trades through GoForBroke, the broker-dealer is violating FINRA's anti-reciprocal rule. Even though GoForBroke does not appear to be offering its agents any additional compensation for selling shares of these funds, it is promoting them above other funds that aren't conducting as many trades through the broker-dealer. Recommendations should be based on a specific client's needs, not on the money the fund generates for the broker-dealer. There is no rule that prohibits a broker-dealer from selling shares of mutual funds that execute their trades through them.

NEW QUESTION: 2
Refer to the exhibit.

An access list is created to deny Telnet access from host PC-1 to RTR-1 and allow access from all other hosts A Telnet attempt from PC-2 gives this message:"% Connection refused by remote host" Without allowing Telnet access from PC-1, which action must be taken to permit the traffic?
A. Add the ip access-group 10 out command to interface g0/0.
B. Remove the password command from line vty 0 4.
C. Remove the access-class 10 in command from line vty 0.4.
D. Add the access-list 10 permit any command to the configuration
Answer: D

NEW QUESTION: 3
When two devices with the same priority preempt the master, the device which the interface has a smaller IP address should be selected as the master.
A. FALSE
B. TRUE
Answer: A