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FINRA Series6 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| 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 |
| Provides Customers with Information About Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records | 50% | - Product information, suitability, recordkeeping and transfers |
FINRA Investment Company and Variable Contracts Products Representative Examination (IR) Sample Questions:
A table providing detailed information on the various fees and expenses charged by a mutual fund can be
found in the fund's:
- A. prospectus.
- B. Statement of Additional Information (SAI. )
- C. financial statements.
- D. annual report.
Correct Answer: A 🗳️
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Your nephew has asked you to help him formulate a financial plan for his family. Scott is 27 years old and
has been employed as an associate with a law firm for two years. Sarah, his wife, is 26 years old and
works in the human resources department of a large corporation. The couple is childless now, but they
plan to begin a family in a few years. Together, they have accumulated $10,000 in a savings account and
recently inherited $40,000 cash. They expect to be able to start saving at least $5,000 annually since their
incomes more than meet their current needs. They each have employer-provided health insurance and
retirement plans. Both have excellent upward mobility potential in their careers. They currently pay taxes
at the marginal rate of 15%. Scott tells you that although they regularly read some of the more popular
financial investment magazines, neither feels particularly knowledgeable about the world of investments.
Based on this information, which of the following statements is true?
- A. Purchasing power risk is not an issue in their situation.
- B. A greater than average percentage of their money should be invested in municipal bonds to minimize
their currently high tax bill. - C. A greater than average percentage of their money should be invested in money market mutual funds to
meet their needs for liquidity. - D. Although some money should be allocated to bond funds for diversification purposes, bond funds
should be underweighted in favor of stock funds.
Correct Answer: D 🗳️
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The Bank Secrecy Act (BSA) requires any financial institution to:
I. file a suspicious activity report (SAR) when a possible violation of a law is suspected.
II. inform its customer that it is filing the SAR.
III. provide any customer that is suspected of engaging in an illegal transaction the opportunity to explain
himself prior to filing an SAR.
IV. obtain specified information on any party sending or receiving a wire transfer of $3,000 or more.
- A. I and II only
- B. I, II, III and IV
- C. I, II, and IV only
- D. I and IV only
Correct Answer: D 🗳️
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Steel Dynamics (STLD) has a convertible bond issue that matures in four years. The bond has a face
value of $1,000 and pays a coupon of 5.125%, with interest paid semiannually. The conversion ratio is
5 6.9801.If the stock of Steel Dynamics is currently priced at $15 a share, what is the conversion value of
this bond, to the nearest cent?
- A. $569.80
- B. $854.70
- C. Until it matures, the conversion value of the bond is equal to its face value of $1,000.
- D. $175.50
Correct Answer: B 🗳️
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Ralph has a traditional IRA from which he has yet to make any withdrawals. Ralph will be turning 70 1/2 in
June, 2011.According to the required minimum distribution rule associated with traditional IRAs, Ralph is
required to start withdrawing funds from this account:
- A. on April 1, 2012.
- B. on April 15, 2011.
- C. no later than the day after he turns 70 1/2 .
- D. on April 15, 2012.
Correct Answer: A 🗳️
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