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FINRA Series6 valid - in .pdf
- Exam Code: Series6
- Exam Name: Investment Company and Variable Contracts Products Representative Examination (IR)
- Q & A: 325 Questions and Answers
- PDF Price: $49.99
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FINRA Series6 valid - Testing Engine
- Exam Code: Series6
- Exam Name: Investment Company and Variable Contracts Products Representative Examination (IR)
- Q & A: 325 Questions and Answers
- Software Price: $49.99
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FINRA Series6 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Provides Customers with Information About Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records | 50% | - Product features, risks, costs, and tax considerations - Variable contracts: variable annuities, variable life insurance - Investment company products: mutual funds, UITs, closed-end funds - Retirement plans and 529 savings plans - Suitability rules and recommendations - Recordkeeping and disclosure requirements |
| Topic 2: Opens Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 16% | - Anti-money laundering (AML) and compliance - Account types and registration - Customer identification and verification - Financial profile and investment objectives assessment |
| Topic 3: Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 10% | - Order entry and processing procedures - Error resolution and correction procedures - Payment and settlement processes - Trade confirmations and account statements |
| Topic 4: Seeks Business for the Broker-dealer from Customers and Potential Customers | 24% | - Communications with the public and regulatory rules - Telemarketing and solicitation rules - Advertising and sales literature regulations - Prospecting and identifying customer needs |
FINRA Investment Company and Variable Contracts Products Representative Examination (IR) Sample Questions:
Question #1
Mary is interested in buying shares of the Lambchops Corporation, which sells over-the-counter. The
market maker with the best bid price--$3.15--is Veggie Investments. The market maker with the best ask
price--$3.27-is Carnivor Investments. Mary conducts trades in NYSE-listed stocks through her broker,
Omnivor and Associates. Given this scenario, which of the following statements is true?
- A. Mary can buy shares of Lambchops Corporation at the ask price of $3.27 by contacting Carnivor
Investments directly. - B. Mary can buy shares of Lambchops Corporation at the bid price of $3.15 by contacting Omnivor and
Associates. - C. Mary can buy shares of Lambchops Corporation at the ask price of $3.27 by contacting Omnivor and
Associates. - D. Mary can buy shares of Lambchops Corporation at the bid price of $3.15 by contacting Veggie
Investments directly.
Answer: C
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Question #2
The MaxCharge fund has a 5% front-end load and a 12b-1 fee that is 0.25% of its average net assets.
Under these conditions, any rear-end load it may have is limited to:
- A. 2.00%.
- B. 3.25%.
- C. 4.75%.
- D. 4.25%.
Answer: B
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Question #3
Which of the following is not required to be included in a management company's prospectus?
- A. a statement of the investment objective of the company
- B. the various fees charged by the company
- C. the financial statements of the company
- D. the potential risks to which the company's investors are exposed
Answer: C
Explanation: Only visible for ValidBraindumps members. You can sign-up / login (it's free).
Question #4
Giant Investments is introducing a new fund to its family of funds that it plans to name the Asian Fund.
Giant may do so only if:
- A. no other family of mutual funds has a fund with this name.
- B. the fund's prospectus provides the specific criteria that will be used by the fund to select its
investments. - C. Giant may do so only if both B and C are true.
- D. the fund has a policy to invest at least 80% of its assets in investments that are economically tied to
Asian countries.
Answer: C
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Question #5
After passing the Series 6 and becoming a registered representative, you will be able to execute
transactions in which of the following securities?
I. corporate stocks
II. mutual funds
III. corporate bonds
IV. variable contracts
- A. I, II, III, and IV
- B. I, II, and IV only
- C. II and IV only
- D. II and III only
Answer: C
Explanation: Only visible for ValidBraindumps members. You can sign-up / login (it's free).
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