FINRA Investment Company and Variable Contracts Products Representative Examination (IR) : Series6

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FINRA Series6 考試大綱主題:

最新的 FINRA Certification Series6 免費考試真題：

1. Liz is a new client of yours. She is 36 years old, single, and has been working and earning a nice salary
since her graduation from high school. She has been contributing the maximum allowed to a TSA plan
through her employer, and you have no reason to doubt that she will meet her stated goal to retire when
she is 58.She also has a good health care plan through her employer and is in excellent health. She has
been depositing her non-retirement savings in a money market fund and is not pleased at the pathetic
return she has been earning on her current balance of $140,000. Liz has been reading some articles on
the web and understands she could allocate her funds to receive a higher return. She's willing to take on a
moderate level of risk, but needs your help. She informs you that she does plan to use $40,000 of her
current savings as a down payment for a condo and that her investment goals are to have money
available for travel and for unexpected expenses and periodic purchases such as new cars and new
furniture as the needs arise. She pays taxes at the highest marginal tax rate for individual tax payers.
Based on these facts, which of the following asset allocations would best meet her needs?
I. Money market fund: 30%; investment-grade corporate bonds: 20%; blue-chip stocks: 20%; high-yield
bonds: 10%; small cap stocks: 10%; foreign stocks: 10%
II. Money market fund: 10%; investment-grade municipal bonds: 5%; blue-chip stocks: 25%; high-yield
bonds: 25%; small cap stocks: 10%; foreign stocks: 25%
III. Money market fund: 10%; investment-grade municipal bonds: 25%; growth stocks: 40%; small cap
stocks: 15%; foreign stocks: 10%

A) Either II or III would be suitable recommendations.
B) I
C) III
D) II

2. Under the 1988 Insider and Securities Enforcement Act, a person convicted of insider trading can be
subject to:

A) up to 10 years in prison and a fine of $1,500,000 or both.
B) up to 5 years in prison, a $150,000 fine, or both.
C) up to 10 years in prison and a fine of either $1 million or up to 3 times the amount of profits gained or
losses avoided, whichever is greater.
D) up to 10 years in prison and a fine of either $1.5 million or up to 150% of the amount of profits gained or
losses avoided, or both.

3. The stock of Nutrisystem, Inc. (NTRI) is selling for $17.70 when Miss Piggy places a limit order to buy the
stock at $17.65. During the period the order is open, NTRI falls to $17.60 and then increases to
$ 17.67.Which of the following statements is most likely to be true in this scenario?

A) Miss Piggy bought NTRI at $17.67 a share.
B) Miss Piggy bought the stock for no more than $17.65 a share.
C) Miss Piggy bought the stock for $17.66 a share.
D) Miss Piggy bought the stock for no more than $17.60 a share.

4. Which of the following statements about mutual funds is false?

A) Mutual funds may be organized as corporations, statutory trusts, or partnerships.
B) Mutual funds issue redeemable shares.
C) Mutual funds are organized under state law.
D) Mutual funds may be either actively or passively managed.

5. MoeMoney Investments is a diversified management company. This means that:

A) it must be invested in a variety of industries and geographic regions.
B) it is a mutual fund.
C) it may invest no more than 5% of its investment monies in one issuer.
D) it is a closed-end company.

問題與答案：