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FINRA Series6 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Provides Customers with Information About Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records | 50% | - Product information, suitability, recordkeeping and transfers |
| Opens Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 16% | - Account opening procedures and financial profile evaluation |
| Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 10% | - Transaction processing and verification |
| Seeks Business for the Broker-Dealer from Customers and Potential Customers | 24% | - Topics in communications, marketing, and solicitation activities |
FINRA Investment Company and Variable Contracts Products Representative Examination (IR) Sample Questions:
Connie Serve placed an order to purchase five, $1,000 Treasury bonds in the secondary market on
Tuesday, October 12th.Connie will be required to pay for this purchase on which day?
- A. Friday, October 15th.
- B. Wednesday, October 13th.
- C. Thursday, October 14th.
- D. Tuesday, October 12th.
Correct Answer: B 🗳️
Explanation: Only visible for ValidVCE members. You can sign-up / login (it's free).
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 only
- B. I and II 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.
Correct Answer: B 🗳️
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Lana is registered as a limited representative and is employed by Everything Investments. Her duties
include selling mutual funds and variable contracts products to the firm's clients. She has been
particularly successful in selling variable contracts offered by OneLife insurance company. As a "thank
you" for her hard work, OneLife has offered her a ticket to an upcoming play at a local dinner theatre.
Given this scenario, which of the following statements applies?
- A. Lana can accept the offer as long as Everything agrees to it and as long as it is not an ongoing thing
and/or preconditioned on her achieving a specified sales target. - B. Lana will have to pass on the offer. She is permitted to receive only cash compensation in an amount
not to exceed $100 from an entity other than Everything, and then only with Everything's approval. - C. Lana can accept the offer without Everything's approval in this instance since the offer does not involve
cash. - D. Lana will have to pass on the offer. Lana is prohibited from receiving compensation from anyone other
than Everything Investments.
Correct Answer: A 🗳️
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Which of the following are included in the expense ratio of a fund?
I. 12b-1 fees
II. brokerage costs incurred by the fund when it buys and sells securities
III. redemption fees
IV. management fees
- A. I, II, and IV only
- B. I and IV only
- C. I, III, and IV only
- D. I, II, III, and IV
Correct Answer: B 🗳️
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Which of the following retirement plans requires the employer to match employee contributions in
accordance with specific guidelines?
- A. Section 457 plans
- B. 401(k) plans
- C. SIMPLE IRAs
- D. both A and B
Correct Answer: C 🗳️
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