FINRA : Series6 Questions & Answers

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FINRA Series6 Exam Syllabus Topics:

FINRA Investment Company and Variable Contracts Products Representative Examination (IR) Sample Questions:

1. A settlement option associated with a variable life policy in which the insurance company guarantees that
the beneficiary will receive equal payments over a specific length of time is known as a:

A) life-income settlement.
B) fixed-period settlement.
C) fixed-amount settlement.
D) guaranteed-payment settlement.

2. 1 2b-1 fees refer to:

A) the front-end or back-end load that a mutual fund charges.
B) the management fees of a mutual fund.
C) fees that some mutual funds charge to pay for certain of its marketing expenses.
D) fees that mutual funds pay the broker-dealers that execute their trades.

3. A broker-dealer is required to file a Currency Transaction Report with the Treasury Department for:

A) any transaction exceeding $10,000 in value.
B) any transaction exceeding $5,000.
C) any cash transaction exceeding $10,000.
D) any cash transaction exceeding $3,000.

4. Ms. Newbie's client, Mr. Nomad, has decided that he wants to go on an extended backpack trip through
the Amazon. Since he'll be out of touch, he has given a friend of his limited power attorney to act on his
behalf. Based on this, Mr. Nomad's friend can:
I. present Ms. Newbie with an order to purchase securities on Mr. Nomad's behalf.
II. present Ms. Newbie with an order to sell securities on Mr. Nomad's behalf.
III. request a check be issued to him so that he can send Mr. Nomad some money.

A) I and II only
B) I only
C) I, II, and III
D) none of the above. Only a relative can hold a power of attorney to engage in financial transactions for
the grantor.

5. Regulation D:
I. enables smaller firms to raise capital more quickly and more cheaply.
II. exempts the issuing firm from all disclosure requirements as long as the issue is being sold to no more
than five investors.
III. has restrictions regarding the resale of the securities being sold.

A) I and II only
B) I only
C) I, II, and III
D) I and III only

Solutions: