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FINRA Series-6 Exam Dumps

FINRA Series-6 Exam Dumps

Investment Company and Variable Contracts Products Representative Qualification Examination (IR)

Total Questions : 325
Update Date : March 26, 2024
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Series-6 Exam Dumps


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FINRA Series-6 Sample Questions

Question # 1

Your client has recently heard about “principal-protected funds” and has asked your ad vice. You should tell her that: I. the majority of principal-protected funds guarantee the investor’s initial investment, less any front-end load, even if the stock market falls. II. it would not be a good investment if she thinks she will need the money within the next five to ten years.III. it will beat the returns she could earn on an S&P 500 Index fund in most years. IV. if she sells her shares at any time other than the maturity date specified, she could lose money if the price per share has fallen. 

A. I only
B. I and II only
C. I and III only 
D. I, II, and IV only



Question # 2

The total return reported by a mutual fund:

A. is calculated as the percentage change in the net asset value of the fund.
B. is equal to the return it earned on the dividend and interest income it received from its investments.
C. is equal to the annual percentage increase in the dollars invested in the fund by investors.
D. includes both the dividend and interest income earned by the fund and any increase in the fund’s net asset value.



Question # 3

The Slippery Fund is a high-yield bond fund, which means it invests a substantial amount of its money in:

A. investment-grade bonds.
B. high-quality bonds.
C. junk bonds.
D. bonds with an AAA rating.



Question # 4

SuperDOT is:

A. an electronic communication network (ECN).
B. an electronic system whereby trades are executed on NASDAQ.
C. an electronic system used to place orders on the NYSE.
D. both A and C.



Question # 5

The Securities Act of 1933 did what?

A. It established the requirement that investment advisers be registered with the SEC. 
B. It established the SEC as the regulatory agency for the secondary market. 
C. It established the requirement that new securities be registered. 
D. All of the above are correct answers. 



Question # 6

Andy and Annie Raggedy own their own graphics art business that they operate out of their home and, happily, generate enough income to meet their current needs. The couple is planning on having children in the not too distant future, however, and they want to start putting money aside for their children’s college education and also want to start saving for retirement more aggressively.

A. Which of the following describes one of their primary investment objectives? tax-exempt income
B. preservation of capital
C. current income
D. capital appreciation



Question # 7

The compensation records that FINRA member firms are required to maintain must include which of the following?I. the names of the persons that have provided the compensationII. names of the associated persons receiving the compensationIII. the amount of cash receivedIV. the nature and value (if known) of any non-cash compensation received

A. I and III only
B. II and III only
C. II, III, and IV only
D. I, II, III, and IV



Question # 8

on No: 187A plan under which employees of state and local governments can contribute part of their salaries such that those earnings will grow tax-deferred until retirement is called a: 

A. profit-sharing plan. 
B. money purchase plan. 
C. Section 457 plan. 
D. Section 501 plan. 



Question # 9

When a mutual fund is valuing your pre-existing holdings to see if you qualify for a reduced sales charge under its rights of accumulation program, it must use:

A. the current NAV of your holdings.
B. the current public offering price (POP) of your holdings.
C. the price you paid when you purchased the shares originally.
D. none of the above.



Question # 10

Which of the following activities are permitted during the “cooling off” period associated with a new offering?I. A preliminary prospectus may be provided to prospective investors.II. The security can be registered in any states in which it will be sold.III. The management of the issuing firm may give interviews in which they discuss the market for their products and future revenue expectations.IV. The underwriter of the issue may run a tombstone advertisement in the Wall Street Journal to announce the upcoming offering.

A. I only
B. I and IV only
C. I, II and IV only
D. I, III and IV only



Question # 11

Which of the following are fiscal policy tools under the jurisdiction of the U.S. Congress?

A. the decision on the amount of cash reserves that a bank must hold 
B. the decision on whether to raise or lower effective tax rates 
C. the decision on whether to raise or lower the rate at which banks can borrow money from the Federal Reserve 
D. Both A and B are fiscal policy tools



Question # 12

The URMoney Mutual fund, a no load fund, has 10 million shares outstanding. The market value of its assets is $620 million and its liabilities are $150. Based on this information, an investor who wants to buy shares of the fund will pay:

A. $62 a share.
B. $47 a share.
C. $15 a share.
D. This cannot be answered without knowing what, if any, the front-end load is.



Question # 13

The Invest4U Mutual Fund is a regulated investment company under Internal Revenue Code Subchapter M. This means that:

A. Invest4U must submit an annually-updated prospectus to the IRS as well as to the SEC. 
B. Invest4U does not itself have to pay taxes on any dividend or capital gain income it receives and distributes to its shareholders. 
C. Invest4U is a UIT. 
D. Invest4U is a non-diversified management company.