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NEW QUESTION: 1
Goldie Locks is an agent with Bear Broker-Dealers. One of her clients is a single woman, Annie Spinster, who is retired and needs income from her investment portfolio to meet her current needs for liquidity. In addition to investing in mutual funds, Annie likes the thrill of investing in single stocks and asks Goldie for recommendations. Goldie recommends Annie invest some of her money in Alcon (ACL), a medical instrument and supplies company selling on the NYSE, based on the fact that it has a high dividend yield and is paying a dividend of $2.21 a share, which is guaranteed to continue or even increase, Goldie assures Annie.
Has Goldie violated any laws or engaged in any prohibited practices?
A. No. Goldie merely responded to a recommendation request from a client, and the recommendation is suitable since the client has a need for current income and the recommended stock pays a high dividend.
B. Yes. At the very least, Goldie has committed fraud since she cannot guarantee that a firm's dividend will continue or increase.
C. Both A and B are true.
D. Yes. As the agent of a broker-dealer, Goldie is not permitted to make recommendations for specific investments. Only investment adviser representatives and investment advisers can do that.
Answer: B
Explanation:
Explanation/Reference:
Explanation: In recommending that Annie buy stock in Alcon because its stock is guaranteed to pay a dividend of $2.21 a share or higher, Goldie has committed fraud. The company itself could not even make such a guarantee legitimately. Goldie may also be guilty of an unsuitable recommendation since factors other than dividend yield-such as the risk of the investment--should have been considered. That being said, Goldie is permitted to make recommendations for specific investments as an agent of a broker- dealer, as long as she doesn't receive special compensation for it.
NEW QUESTION: 2
Sie haben ein Data Warehouse, das die Daten für alle Kunden Ihres Unternehmens enthält.
Sie müssen eine gespeicherte Prozedur erstellen, die eine Liste der Kundenadressen generiert. Die Liste muss die folgenden Anforderungen erfüllen:
* Die Prozedur muss einen Zeichenfolgenwert akzeptieren.
* Das Verfahren sollte alle Kunden zurückgeben, die in einer Stadt wohnen, deren Name mit dem angegebenen Wert beginnt.
* Wenn ein Benutzer einen leeren Wert angibt, muss die Prozedur ausgeführt werden und anschließend eine leere Ergebnismenge zurückgeben.
Ein Teil des korrekten Transact-SQL wurde im Antwortbereich unten bereitgestellt. Geben Sie den Code in den Antwortbereich ein, der das Problem löst und die angegebenen Ziele oder Anforderungen erfüllt. Sie können Code innerhalb des bereitgestellten Codes sowie darunter hinzufügen.
Verwenden Sie die Schaltfläche 'Syntax prüfen', um Ihre Arbeit zu überprüfen. Alle Syntax- oder Rechtschreibfehler werden nach Zeilen- und Zeichenposition gemeldet.
A. 1 CREATE PROCEDURE uspGetAddress @City nvarchar (50) = ""
2 AS
3 SELECT *
4 VON Person.Adresse
5 WO Stadt WIE @City *
6 GO
In Zeile 1 "" hinzufügen (Standardwert festlegen)
Fügen Sie in Zeile 5 LIKE hinzu (verwenden Sie den Zeichenfolgenvergleich).
B. 1 CREATE PROCEDURE uspGetAddress @City nvarchar (50) = ""
2 AS
3 SELECT *
5 VON Person.Adresse
6 WO Stadt WIE @City *
7 GO
Fügen Sie in Zeile 5 LIKE hinzu (verwenden Sie den Zeichenfolgenvergleich).
Answer: A
NEW QUESTION: 3
You are teaching David to clean the workshop to prepare him for working on the cleaning crew. Read the
descriptions below and identify which is LEAST likely to promote generalization of the workshop cleaning
skills to real-life cleaning jobs.
A. Make the workshop distinctive from the cleaning crew and then gradually make it more like it
B. Make the workshop as much like a real cleaning situation as possible
C. Transition to variable, delayed reinforcement
D. Teach David to use a checklist, which could be used on the cleaning crew
Answer: A