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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 information, suitability, recordkeeping and transfers |
| Topic 2: Seeks Business for the Broker-Dealer from Customers and Potential Customers | 24% | - Topics in communications, marketing, and solicitation activities |
| Topic 3: Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 10% | - Transaction processing and verification |
| Topic 4: Opens Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 16% | - Account opening procedures and financial profile evaluation |
FINRA Investment Company and Variable Contracts Products Representative Examination (IR) Sample Questions:
A feature that gives a bondholder or the owner of preferred stock of a corporation the option to exchange
his security for shares of the common stock of the firm is called a:
- A. right.
- B. warrant.
- C. convertible feature.
- D. call feature.
Correct Answer: C 🗳️
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Joe Cool is a member of the All Greek Fraternity. A few of the alumni of his fraternity sat for the FINRA
Series 6 exam over the past couple of years and, using their cell phones, took pictures of the exam
questions. They forwarded these to their fraternity to be included in the test bank file the fraternity keeps
in its study room. Have there been any violations of FINRA/NASD rules in this instance?
- A. Both A and C are true statements.
- B. Yes. It is a violation of Rule 2110 for an exam-past or present-to be reproduced and distributed for
study purposes. - C. No. Rule 2110 only prohibits the reproduction and distribution of a previously administere d FINRA
exam for study purposes if the exams are being sold. As long as there is no compensation involved, a
violation has not been committed. - D. No. It is standard practice for sororities and fraternities to compile test banks of old exams, and since
the forwarded tests are not copies of an actual future exam that will be administered, there has been no
violation of any rules.
Correct Answer: B 🗳️
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Which of the following investment companies will always be passively managed?
- A. a face-amount certificate company
- B. a mutual fund
- C. a unit investment trust
- D. a closed-end investment company
Correct Answer: C 🗳️
Explanation: Only visible for DumpsReview members. You can sign-up / login (it's free).
Which of the following persons would not fall under the definition of "investment adviser," under federal
guidelines?
- A. a Denver-based, broker-dealer that is registered as a broker-dealer with the SEC and provides
investment advice to members of the Denver Broncos, the Colorado Rockies, the Denver Nuggets, and
the Colorado Avalanche organizations in exchange for box seats at their games. No monetary
compensation is expected or given. - B. an individual who works as an agent for a broker and occasionally gives investment advice to clients
who request it, but receives no additional compensation for doing so - C. an individual who advises only Oprah Winfrey on her investment portfolio and receives a nice salary for
doing so - D. None of the above would fall under the definition of "investment adviser," as defined by the Investment
Advisers Act of 1940.
Correct Answer: B 🗳️
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Which of the following is true about a hedge fund?
- A. It has very low management fees since it is passively managed.
- B. It is more liquid than almost any investment other than a money market mutual fund.
- C. It is designed to help investors hedge their risk and, as such, is a low risk alternative to a mutual fund.
- D. It is closed to all but sophisticated, wealthy investors.
Correct Answer: D 🗳️
Explanation: Only visible for DumpsReview members. You can sign-up / login (it's free).
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