最新のSeries6問題集で試験を準備する

FINRA Series6 試験概要:

FINRA Series6 試験シラバストピック:

FINRA Investment Company and Variable Contracts Products Representative Examination (IR) 認定 Series6 試験問題：

1. An ADR is:

A) a certificate of deposit offered by a foreign bank that is denominated in U.S. dollars.
B) a receipt designating ownership of shares of a foreign stock that are held in a trust.
C) another name for bankers' acceptances.
D) a bond issued by an American firm that is denominated in dollars, but is sold to foreign investors.

2. Which of the following is not a function performed by an investment banker as part of a full commitment
underwriting?

A) provides advice to the issuing firm on what type of security should be issued in order to raise the funds
B) purchases the securities from the issuing firm
C) provides short-term price support for the security after it begins trading in the secondary market
D) provides advice to the issuing firm on the projects in which it should invest the money raised

3. Tex Payor purchased 1,000 shares of Stocks4U, a mutual fund with a 5% front-end load, on February
2 6th.The fund's net asset value on that date was $30.40 and its offer price was $32.Tex sold his shares
on March 15th of the following year for $45 a share. What were the tax consequences for Tex?

A) Tex must pay taxes on $14,600, which will be taxed as ordinary income at Tex's marginal tax rate.
B) Tex must pay taxes on $14,600, which will be taxed at a preferential long-term capital gain rate under
current tax law.
C) Tex must pay taxes on $13,000, which will be taxed at a preferential long-term capital gain rate under
current tax law.
D) Tex must pay taxes on $45,000, which will be taxed at a preferential long-term capital gain rate under
current tax law.

4. After a registration statement has been filed with the SEC, no offers to sell the security to the public can
be made for:

A) a maximum of 20 days.
B) a minimum of 30 days unless the SEC grants an exception.
C) a maximum of 30 days.
D) a minimum of 20 days unless the SEC grants an exception.

5. When a client purchases a variable contract through you, he should be informed that his money will be
invested:

A) at the most recent price for which the contract sold.
B) at the next price that is computed after the contract application is accepted by the insurance company.
C) in a product with a guaranteed cash value.
D) at the previous day's close price for the contract.

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