Dol section 8 - Study guides, Class notes & Summaries

CFP Practice Test 2023 CFP Standards of Conduct Sections (6) - CORRECT ANSWER-A. Duties owed to clients. B. Fin. Planning and Application of Practice Standards C. Practice Standards for Fin. Planning Process D. Duties owed to firms/subordinates E. Duties owed to CFP Board F. Prohibition on Circumvention Section A of CFP Standards of Conduct - CORRECT ANSWER-Duties owed to Client: 1. Fiduciary Duty 2. Integrity 3. Competence 4. Diligence 5. Disclose and Manage Conflicts of Interest ...

HRCI: SPHR/PHR Exam 120 Questions with Verified Answers Davis-Bacon Act - CORRECT ANSWER Requires contractors using federal funds to pay wages and fringe equal to or greater than the local market wage What is the HR Significance of the Davis-Bacon Act? - CORRECT ANSWER Applies if receiving federal funds for work or projects Walsh-Healey Act - CORRECT ANSWER Establishes the time-and-a-half overtime rule for hours in excess of 40 in a week for nonexempt employees What is the HR Signifi...

Payroll Fundamentals Ch. 1 Exam 135 Questions with Verified Answers Common Law Test - Questions - CORRECT ANSWER 1) How independent is the employee? 2) How much control can be exercised over the worker? Common Law Test - Employee - CORRECT ANSWER - Required to comply with employer's instructions about when, where, and how to work - Works exclusively for the employer - Hired by the employer - Subject to dismissal; can quit without liability - Has a continuing relationship with the e...

PHR Prep Practice Exam 64 Questions with Verified Answers If a security law is violated, who must legal counsel first report the violation to? A. The DOL B. The PCAOB C. Either the chief legal officer or the company CEO D. Audit committee of the BOD - CORRECT ANSWER C. Under SOX, any breach of fiduciary responsibility must be report to either the chief legal officer or the company CEO by either in-house or outside legal counsel. If no resolution occurs, the next step in remaining compli...

FINRA Series 7 Exam Questions and Answers | 100% Pass What information must be disclosed by a broker dealer in a research report? - Answer️️ -Any investment banking compensation paid in past 12 months, anticipated price target, if analyst is a director of the company, any ownership in the company held by the analyst or analyst family members. Subordinated Debenture Bonds - Answer️️ -Unsecured bonds, secured by the full faith and credit and no specific collateral of the corporation...

5. HRCI- SPHR Employee Relations and Engagement 75 Questions with Verified Answers Which of the following should you recommend as a last step when building an ADR process for your employer? A. Establish formal complaint procedures. B. Engage an ombudsman to help resolve disputes. C. Allow disciplinary appeals to be assigned to a peer review panel. D. Train supervisors to utilize open-door techniques for employee feedback. - CORRECT ANSWER C. There are many tools HR may use to build an e...

HCCA CHC Final Exam Practice Questions With Answers (MASTER FLASHCARDS) | 100% Verified. At which level of the Medicare Part A or Part B appeals process is the appeal decision by the Office of Medicare Hearings and Appeals (OMHA)? a. first level of appeal b. second level of appeal c. third level of appeal d. fourth level of appeal - Answer-c. . third level of appeal Frist level - redetermination by Medicare contractor Second level - reconsideration by Independent contractor Third appeal...

HCCA - CHC (MASTER FLASHCARDS) Exam Questions With Answers Latest | Graded A+. According to HHS-OIG - what are three important reasons for proper documentation in Compliance? (hint: protections) - Answer-1.Protect our programs 2.Protect your patients 3.Protect the Provider #:~:text=Proper%20documentation%2C%20both%20in%20patients,to%20prot ect%20you%20the%20provider. At which level of the Medicare Part A or Part B appeals process is the appeal decision by the Office of Medicare Hearings...

WGU C214 OA Financial Management Pre-Test Exam_ ((2023)) (Graded A+) What is included in the Income Statement and NOT in the Statement of Cash Flows? - Depreciation Expense Computation of Net Income: A co. sold products in 2014 for $120k and collected $100k cash and remainder in 2015. Co. incurred $70k expenses for 2014 and paid $100k which included $30k for expenses incurred in 2013. What is net income for 2014? - Computation of Net Income (R-E=NI) $50,000 Net Income = $120...

C214 WGU EXAM TEST 2023/2024 Pt - CORRECT ANSWER-is the sold price Pt-1 - CORRECT ANSWER-is the bought price CFt - CORRECT ANSWER-is the cash flow (coupons for bonds; dividends for stocks). Dollar Returns - CORRECT ANSWER-= Pt - Pt-1 + CFt Cash Flow from Investing (CFI) - CORRECT ANSWER-= Change in Net PP&E + Depreciation Expense Net PP&E - CORRECT ANSWER-= Gross PP&E - Accumulated Depreciation With the assumption of no asset disposals, CFI will be equal to - CORRECT ANSWER1) change in...