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NEW QUESTION: 1
A nurse notices that her colleague is taking frequent breaks, having inaccurate drug counts, and working
extra shifts. The nurse would suspect:
A. The colleague is trying to get out of work
B. The colleague has a personality disorder
C. The colleague is abusing a substance
D. The colleague is a victim of domestic violence
Answer: C
Explanation:
The nurse would suspect the colleague is abusing a substance. The above mentioned
findings are indicative that the nurse's colleague is abusing a substance. The nurse may volunteer for
extra shifts in an effort to obtain drugs. Other indicators include irritability, absenteeism, and deteriorating
appearance.
NEW QUESTION: 2
Which of the following does not describe a prohibited activity by investment advisers and their
representatives, according to NASAA Model Rules?
A. The agreement that Simon LaGree has his clients sign indicates that LaGree uses SecureMoney
Broker-Dealers in executing trades for his clients and that, in return, LaGree receives software from the
broker-dealer that allows LaGree to perform some fundamental and technical analysis.
B. All of the above describe prohibited practices.
C. A new client comes to Simon LaGree for investment advice. The client has $25,000 to invest.Simon
tells the client that it will cost the client $5,000 to have a customized financial plan developed for him, but
after that the client needs to pay only 5% of the total value of the assets under management each quarter.
D. A 72-year-old retired social worker comes to Simon LaGree for investment advice. She has $50,000 to
invest. Simon recommends she invest half of it in an international growth mutual fund and half in a
variable annuity.
Answer: A
Explanation:
It is not prohibited for LaGree to receive the software from SecureMoney in return for
executing trades through that broker-dealer since LaGree has disclosed this to his clients. An investment
adviser is permitted to receive soft dollars from broker-dealers in return for executing trades through them,
as long as the client is informed of the arrangement and the soft dollars will benefit both the client and the
adviser, which is the case in this instance since the software gives LaGree the ability to do research in
order to better advise his client. Choice A is clearly prohibited since it constitutes an "unreasonable
advisory fee." In Choice B, LaGree is making unsuitable recommendations to his client. A 72-year-old
retired social worker is likely to have a greater-than-average need for liquidity to pay for unexpected items,
such as medical bills. Variable annuities are designed to be long-term investments, not short-term
investments, so they would not meet this need. They typically have high surrender penalties that the client
would be subject to if she needed to make withdrawals within, say, the next 10 years. Likewise,
international growth funds are not liquid investments. International growth mutual funds are invested in
foreign stocks and are riskier than average, and are, thus, not suitable investment vehicles for the typical
7 2-year-old retired social worker.
NEW QUESTION: 3
A company has users and porters in multiple geographic locations and the printers are locked in common areas of the offices To preserve the confidentially of PII, a security administrator needs to implement the appropriate controls Which of the following would BEST meet the confidentiality requirements of the data?
A. Adding location to the standard naming convention
B. implementing time-of-day restrictions based on location
C. Conducting regular account maintenance at each location
D. Enforcing location-based policy restrictions
Answer: D