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FINRA Series-6 Sample Questions
Question # 1
Which of the following statements regarding both a Uniform Gifts to Minors account (UGMA) and a Uniform Transfers to Minors account (UTMA) is false?
A. There can be only one custodian named on the account. B. The account must be established in the name of one minor child only. C. Once established, the account is irrevocable. D. The assets must be re-registered in the minor child’s name when the child turns 18.
Question # 2
Anna Lyst observes that the beta of a certain stock is 0.8. This means that:
A. if the S&P 500 Index loses 10%, this stock can be expected to lose 8%. B. the stock is 80% more volatile than the S&P 500 Index. C. if the S&P 500 Index is up 10%, this stock can be expected to lose 8%. D. the stock is riskier than the overall market.
Question # 3
After having been divorced for several years, Mrs. Blended has remarried a man with three
children of his own. She has set up a revocable trust in which she deposited funds that she
inherited when her mother died, so that the monies will go uncontested to her two biological
children in the event of her own death. These two adult children are the only beneficiaries
of the trust. Mrs. Blended has no plans to touch any of the money in the trust unless
circumstances demand it in the future. The trust is invested in a mutual fund that paid $500
in dividend income and distributed $3,000 in long-term capital gain income to the trust this
year.Which of the following statements is true regarding the tax treatment of these distributions?
A. The distributions will not be taxed at this point; they will be taxed only when Mrs.
Blended or her beneficiaries make withdrawals from the trust. B. Assuming her two adult children are equal beneficiaries, each one is responsible for
paying tax on 50% of the income to the trust, or $1,750. C. Mrs. Blended must pay taxes on the $3,500 in distributions. D. The distributions will not be taxed at this point; they will be taxed as part of the estate
upon Mrs. Blended’s death.
Question # 4
Which of the following is true about treasury bonds?
A. have no default risk. B. have no interest-rate risk. C. have no prepayment risk. D. are totally risk-free.
Question # 5
Joan is a customer of GetErDone Broker-Dealers. Her twin sister, Jean, has accompanied her to GetErDone’s office and has gathered some information regarding opening an account with the firm, giving it her contact information at the same time.Under Regulation S-P, which of the following statements regarding GetErDone’s handling of Joan’s and Jean’s personal information is true?
Question # 6
Which of the following would be required to register as an investment company?I. a non-diversified management companyII. a unit investment trustIII. a face-amount certificate company
A. I, II, and III B. II only C. II and III only D. I and II only
Question # 7
Given the same maturity, which of the following debt instruments would you expect to offer the highest yield-to-maturity?
A. a debenture issued by Abbott Laboratories B. a bond issued by the Federal Home Loan Bank Board C. a general obligation bond issued by the state of Massachusetts D. a U.S. Treasury bond
Question # 8
Matt is a registered representative with Fine, Howard, Fine and Associates. Tom, an old fraternity brother, is one of his clients. Business has been bad, and Matt is going to have difficulties making this month’s mortgage payment. Tom was commiserating with him when the two hooked up to have a couple of beers together and offered to lend Matt some money to see him through the rough times. Based on these facts:
A. Matt must refuse Tom’s offer since Tom is one of his clients. B. Matt can accept Tom’s offer, but only after obtaining pre-approval from Fine, Howard, Fine. C. Matt can accept the offer without having to obtain pre-approval from his employer since he and Tom are former fraternity brothers and their friendship pre-dates their agent/client relationship. D. Matt can accept the offer as long as Tom will not need to sell any investments to lend Matt the money. This would constitute a conflict of interest.
Question # 9
Which of the following is not a secured debt issue?
A. a collateral trust receipt B. a subordinated debenture C. an equipment trust receipt D. a mortgage bond
Question # 10
stion No: 159In 2004, your Uncle Oscar purchased 300 shares of Hasbro, Inc. for $19 a share. Uncle
Oscar died earlier year and left his Hasbro stock to you. The stock was selling for $44 on
the day he died, but by the time you learned that you were the beneficiary of the stock, the
price was $47.
What is your cost basis in Hasbro?
A. $19 B. $44 C. $47 D. $28
Question # 11
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 # 12
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 # 13
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 # 14
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 # 15
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 # 16
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 # 17
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 # 18
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 # 19
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 # 20
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 # 21
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 # 22
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 # 23
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.
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