최신 Series6 무료덤프 - FINRA Investment Company and Variable Contracts Products Representative Examination (IR)
GoForBroke Broker-Dealers has distributed a list of ten mutual funds that it suggests are top-notch funds
worthy of recommendation by GoForBroke's agents. Coincidentally, all the funds on this list also happen
to be those that execute the majority of their trades through GoForBroke. Is GoForBroke in violation of
any FINRA rules?
worthy of recommendation by GoForBroke's agents. Coincidentally, all the funds on this list also happen
to be those that execute the majority of their trades through GoForBroke. Is GoForBroke in violation of
any FINRA rules?
정답: C
설명: (DumpTOP 회원만 볼 수 있음)
Which of the following securities would be exempt from SEC registration requirements?
I. a 15-year bond issued by the state of Colorado
II. an issue of preferred stock that has an aggregate par value of $5 million
III. an issue of commercial paper that has a 5-month maturity
I. a 15-year bond issued by the state of Colorado
II. an issue of preferred stock that has an aggregate par value of $5 million
III. an issue of commercial paper that has a 5-month maturity
정답: C
설명: (DumpTOP 회원만 볼 수 있음)
Anna Vestor placed an order to sell 100 shares of Microsoft through the on-line site of her broker,
GetErDone Broker-Dealers. GetErDone sold her shares for $24.59 a share and charged her a
commission of $8.95.Among other things, the trade confirmation that Anna receives must stipulate:
I. the time and date of the transaction.
II. that GetErDone served as a principal in the transaction.
III. the number of shares sold and the price at which they were sold.
IV. the exchange or ECN on which the transaction was executed.
GetErDone Broker-Dealers. GetErDone sold her shares for $24.59 a share and charged her a
commission of $8.95.Among other things, the trade confirmation that Anna receives must stipulate:
I. the time and date of the transaction.
II. that GetErDone served as a principal in the transaction.
III. the number of shares sold and the price at which they were sold.
IV. the exchange or ECN on which the transaction was executed.
정답: D
설명: (DumpTOP 회원만 볼 수 있음)
Under the Investment Company Act of 1940, an investment company is:
정답: C
설명: (DumpTOP 회원만 볼 수 있음)
Yvette is a recently-widowed 63-year-old. The couple had no children, and when her husband died, she
was the beneficiary of his $45,000 life insurance policy. She also receives benefits from his retirement
plan and social security, but this income falls about $300 short of covering her regular monthly expenses,
which includes a sizeable amount for health insurance. In the months since her husband's death, she sold
their larger home and purchased a condominium, netting $80,000 from the combined transactions. Yvette
was a homemaker all her life, and her husband handled all their finances, so Yvette is just learning how to
balance her checkbook. One thing she does know is that she is going to have to purchase a new car
within the next few months. Yvette is in good health and expects to live at least another 25 years. Which
of the following types of investments should be included in recommending an asset allocation to Yvette?
was the beneficiary of his $45,000 life insurance policy. She also receives benefits from his retirement
plan and social security, but this income falls about $300 short of covering her regular monthly expenses,
which includes a sizeable amount for health insurance. In the months since her husband's death, she sold
their larger home and purchased a condominium, netting $80,000 from the combined transactions. Yvette
was a homemaker all her life, and her husband handled all their finances, so Yvette is just learning how to
balance her checkbook. One thing she does know is that she is going to have to purchase a new car
within the next few months. Yvette is in good health and expects to live at least another 25 years. Which
of the following types of investments should be included in recommending an asset allocation to Yvette?
정답: B
설명: (DumpTOP 회원만 볼 수 있음)
Paul is 36 years old and is married with two children, ages eight and ten. Paul lays carpet for a living,
working as an independent contractor, and earns about $35,000 a year. His wife, Paula, is 33 years old,
drives a school bus and earns only $18,000 a year, but her job provides the family with low-cost health
insurance. They live conservatively and barely make ends meet. Paula recently inherited $180,000,
however, and the couple would like to invest it, with the goal that they can both retire when Paul turns
6 2.The inheritance also included an educational endowment for their children, so they will not have to
worry about saving for their children's college educations. Which of the following would not be a suitable
recommendation for the allocation of their investment monies?
working as an independent contractor, and earns about $35,000 a year. His wife, Paula, is 33 years old,
drives a school bus and earns only $18,000 a year, but her job provides the family with low-cost health
insurance. They live conservatively and barely make ends meet. Paula recently inherited $180,000,
however, and the couple would like to invest it, with the goal that they can both retire when Paul turns
6 2.The inheritance also included an educational endowment for their children, so they will not have to
worry about saving for their children's college educations. Which of the following would not be a suitable
recommendation for the allocation of their investment monies?
정답: D
설명: (DumpTOP 회원만 볼 수 있음)
Which of the following risks would not be a risk associated with a municipal bond fund?
I. credit risk
II. reinvestment risk
III. currency exchange risk
I. credit risk
II. reinvestment risk
III. currency exchange risk
정답: B
설명: (DumpTOP 회원만 볼 수 있음)
A warrant differs from a standard call option in that:
정답: B
설명: (DumpTOP 회원만 볼 수 있음)
Which of the following actions can be expected to result in a decrease in stock and bond prices, all else
equal?
I. The Federal Reserve announces a decrease in the discount rate.
II. Congress votes to decrease payments to Social Security recipients.
III. Congress votes to decrease taxes.
IV. The Federal Reserve announces that it will sell some of the Treasury securities it owns on the open
market.
equal?
I. The Federal Reserve announces a decrease in the discount rate.
II. Congress votes to decrease payments to Social Security recipients.
III. Congress votes to decrease taxes.
IV. The Federal Reserve announces that it will sell some of the Treasury securities it owns on the open
market.
정답: A
설명: (DumpTOP 회원만 볼 수 있음)
Which of the following statements regarding the required distribution of income by a regulated investment
company are true?
company are true?
정답: D
설명: (DumpTOP 회원만 볼 수 있음)
Your 53-year-old client, Ms. Antsy, just inherited $80,000 from her aunt and has decided to retire
immediately. She wants to invest in something that will allow her to begin making withdrawals
immediately, and she wants to be certain that she will continue to receive payments at least until she turns
6 2 1/2 and begins drawing social security. You should recommend Ms. Antsy invest in:
immediately. She wants to invest in something that will allow her to begin making withdrawals
immediately, and she wants to be certain that she will continue to receive payments at least until she turns
6 2 1/2 and begins drawing social security. You should recommend Ms. Antsy invest in:
정답: A
설명: (DumpTOP 회원만 볼 수 있음)