FINRA SIE Exam Prep
Securities Industry Essentials (Page 13 )

1. Discovery tries the SSH probe first.
2. SSH fails.
3. Discovery tries SNMP, which succeeds.
4. Discovery records SNMP as the preferred service for that IP.
5. Future discoveries try SNMP first.

• Classification identifies the type of device, such as a server, router, or printer.
• Credential affinity remembers which credentials work for a device.
• MID Server affinity associates a device or network with a particular MID Server.
• IP service affinity specifically controls the preferred discovery protocol or service.

• Base table — the table containing common inherited fields
• Parent table — the table directly extended by the child
• Other tables in the hierarchy

• IaaS: você gerencia a VM e o sistema operacional.
• PaaS: o Azure gerencia a infraestrutura; você se concentra no aplicativo.

• state preserves the client’s original context, such as the specific idea URL the user requested.
• The portal sends that value in the OAuth authorization request.
• Salesforce returns it after authorization, allowing the portal to redirect the user to the original idea rather than the Ideas home page.

• Power BI dataset — Reuses the existing tables, relationships, and measures. You mainly create new visualizations.
• SharePoint folder — Connects to the source files, but you would need to rebuild the model and measures.
• Power BI dataflows — Primarily provide reusable data preparation; they do not automatically provide the existing report’s measures and model.
• Excel workbook — Requires reconnecting to and modeling the source data again.

• Deficiency found before patient use: usually does not require an adverse-event report because no patient exposure occurred.
• Event caused solely by the patient’s condition: may not be reportable if the device did not contribute.
• Malfunction protection operated correctly: generally exempt when the device’s safety mechanism worked as intended and prevented harm.

• Each team’s Bedrock workflow uses a separate IAM service role.
• The role’s Amazon S3 permissions can be limited to only that team’s customer folder or objects.
• This enforces least privilege and prevents one team’s Bedrock application from accessing another team’s data.
• Access is enforced by AWS permissions, not by asking users to provide a customer name in each request.

• A single role with broad S3 access does not provide team-level isolation.
• Asking teams to specify a customer name is not an access-control mechanism.
• Redacting data does not prevent unauthorized access.
• A bucket policy alone is insufficient unless it explicitly enforces the required team-role restrictions.

• Determining ISP-assigned address space: Usually involves public reconnaissance, such as WHOIS or regional Internet registry information.
• Bypassing DNS sinkholing: Would require evidence that malicious domains are resolving outside the organization’s sinkhole controls.
• Achieving initial access: DNS log entries alone do not demonstrate compromise or entry.
• Exfiltrating data: DNS tunneling generally involves repeated queries containing encoded or unusually long data, not merely internal host discovery.

• B: Extending credit to customers increases receivables, so more cash is tied up in working capital.
• C: Replacing obsolete inventory does not reduce the overall inventory investment; it simply changes its composition.
• D: Paying suppliers earlier reduces payables. This uses cash and therefore increases the funds tied up in working capital.

• Regression predicts continuous numeric outcomes, such as house price, temperature, or sales amount.
• Linear regression assumes the target can be estimated from a linear relationship between the input features and the target.
• In Azure Machine Learning, you use a labeled dataset containing:

• Classification predicts a category or class, such as “spam” or “not spam.”
• Clustering groups similar records without a known label; it is an unsupervised learning technique.

• Namespace: The namespace associated with the code where the checkpoint was set.
• Time: When the checkpoint was captured or executed.

• Exception: Exceptions are viewed through debug logs or execution results, not as the primary Checkpoints tab information.
• Debug Statement: System.debug() output belongs in the Logs tab. A checkpoint captures program state, such as variables and their values, at a specific point in execution.

• The requirement is to obtain an assessment of the Azure environment’s design.
• The proposed solution is the Premier support plan.
• Premier can provide this type of guidance, but it is a higher-tier, more expensive option.
• The question specifically says to keep costs to a minimum. A lower tier—typically Professional Direct in the support-plan model used by this question—provides architectural/design guidance.

• httprint fingerprints Web servers by analyzing their HTTP responses. It can help identify the Web server type and sometimes its version, even when the banner has been modified or hidden.
• Wget is mainly used to download files or Web content.
• WinSSLMiM is associated with SSL man-in-the-middle testing.
• Whisker is an older Web-server vulnerability assessment tool, especially associated with IIS, rather than the expected banner-grabbing tool here.

• Install unauthorized or unsupported software
• Access features blocked by the manufacturer or operating system
• Customize system behavior beyond normal settings

• Crash cart: Provides local physical access, not remote access.
• Jump box: A secured intermediary used to reach devices over the normal network; it may be inaccessible if the appliance has not booted.
• Secure Shell (SSH): Requires the device’s operating system and network services to be running properly.

• Existing measures
• Relationships
• Calculated columns
• Tables and fields
• Existing transformations in the model

• SharePoint folder: Reconnects to the source files. You would likely need to recreate the model and measures.
• Power BI dataflows: Primarily provide reusable data preparation and storage, but they do not automatically provide the existing semantic model and measures.
• Excel workbook: Connects directly to the source file and would also require rebuilding the model and measures.

• Use the grant-date fair value: $30
• Do not remeasure to the year-end value of $45
• Update the estimate of employees expected to vest

• Dr Share-based payment expense $450,000
• Cr Equity/share option reserve $450,000

• Minimum
• Maximum
• Average
• Count
• Null/empty values
• Distinct values

• Enable column profile
• Enable details pane
• Show column profile in details pane

• Accept: Acknowledge the risk and take no additional action.
• Transfer: Shift the risk or financial impact to another party, such as through insurance or a contract.
• Mitigate: Reduce the likelihood or impact using controls, such as firewalls, training, or backups.
• Avoid: Eliminate the activity that creates the risk.

• QuickVisualize is used to create and render a Power BI report from a DataFrame.
• The typical pattern is:

python 
PBI_visualize = QuickVisualize( 
    get_dataset_config(df), 
    auth=device_auth 
) 


PBI_visualize

• get_dataset_config(df) prepares the dataset configuration.
• auth=device_auth supplies authentication for the Power BI connection.
• Evaluating PBI_visualize renders the report in the notebook.

• Box 1: No
• Box 2: Yes
• Box 3: Yes

• C — Some risks cannot be eliminated.

• D — Accepting residual risk does not imply recklessness.

• E — Most companies in this industry will say something similar.

• A: Not expanding would increase its dependence.
• B: More business from the same corporation would make dependence worse.
• D: Passing work to other minority businesses does not solve its own dependence.
• E: The passage does not suggest that it can force or influence the corporation to give work to others.

• Maintain head office control: Transfer pricing generally supports decentralisation rather than direct head-office control.
• Establish centralised decision making: This conflicts with divisional autonomy.
• Develop a top-down culture: Transfer pricing is intended to support empowered divisions and goal congruence, not impose purely top-down management.

• Link-local — FE80::/10; valid only on the local link/subnet and not routed by routers.
• Multicast — FF00::/8; identifies a group of interfaces rather than a private address range.
• Global unicast — 2000::/3; publicly routable IPv6 addressing.

• Dataset file: Use Import mode. Excel files are imported into Power BI, and the two Sales tables can be combined with Power Query.
• Report file: Use a live connection to the published dataset. This keeps the report separate from the dataset and avoids importing the data again.

• Report file: DirectQuery/live connection
• Dataset file: Import

• Customer needs: Primary focus in agile; guides prioritization and decision-making.
• Organization’s needs: Important constraints, but processes should be tailored when they create waste.
• Agile lead/project manager: Their role is to facilitate value delivery, not prioritize their own preferences.

Correct sequence

1. Merge Sales_Region with Sales_Manager using an inner join

1. Merge Region_Manager with Manager using an inner join

1. Merge Sales_Region and Region_Manager using a right join as a new query

• B — The glass core component is encased in a cladding.

• D — Light is transmitted through the core of the fiber.

• BNC connectors are associated mainly with coaxial copper cabling, not standard fiber connections.
• Data does not pass through the cladding; the cladding helps reflect and contain the light.
• RJ-45 connectors are used with copper Ethernet cabling, not fiber-optic interfaces.

• Deterrent control: The signs warning that people may be filmed can discourage unauthorized or malicious activity. They do not directly stop the action; they influence behavior.
• Detective control: CCTV records or monitors activity so security personnel can identify events or investigate them afterward.

• Preventive: Stops an incident from occurring, such as access control.
• Corrective: Restores systems after an incident.
• Directive: Instructs people to behave in a certain way, such as a security policy.
• Compensating: An alternative control used when the preferred control is not feasible.

• Allow only approved MAC addresses
• Limit the number of learned addresses
• Shut down or restrict a port when a violation occurs

• Load balancer: Distributes application traffic; it does not protect switch MAC tables.
• IPS: May detect some attack traffic, but it is not the direct control for limiting MAC addresses on switch ports.
• NGFW: Filters routed network traffic, while this attack targets Layer 2 switch behavior.

spl 
error AND host=WWW3 
status=404 OR status=500 
NOT source=access.log

• Quotation marks are used for exact phrases or values containing spaces.
• Parentheses group parts of a Boolean expression, but they are not required for every Boolean search.

• Guest access: Controls external users invited into your teams as guests. It is not the primary setting for restricting federated communication by domain.
• Messaging policy: Controls messaging features, such as chat or message editing, rather than which organizations users can communicate with.
• Org-wide Teams settings: Contains broad Teams-wide configuration, but domain-based external communication is configured under External access.

1. CALCULATE
2. AND
3. FILTER

DAX 
Transaction Category = 
CALCULATE( 
    MAX('Transaction Size'[Size]), 
    FILTER( 
        'Transaction Size', 
        AND( 
            Sales[Sales Amount] >= 'Transaction Size'[Minimum], 
            Sales[Sales Amount] <= 'Transaction Size'[Maximum] 
        ) 
    ) 
)

• FILTER examines the rows in the Transaction Size table.
• AND ensures the sales amount falls between the category’s minimum and maximum values.
• CALCULATE evaluates the result in the modified filter context and returns the matching category.