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FINRA Series6 試験シラバストピック:

FINRA Investment Company and Variable Contracts Products Representative Examination (IR) 認定 Series6 試験問題：

1. 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.

A) I, III, and IV only
B) I, II and III only
C) I and III only
D) I, II, III, and IV

2. A person's discretionary income is:

A) his income after tax.
B) the income that he has left to spend or save after having paid taxes on the income and for all of the
necessities, e.g., housing, food, clothing, transportation, utilities, etc.
C) the amount that can be allocated to speculative investments.
D) the amount of his income that is needed to pay his regular monthly bills, e.g., rent, food, gasoline,
utilities, health insurance, etc.

3. Which of the following activities are prohibited by FINRA when a representative is selling shares of a
mutual fund?
I. recommending that a client purchase shares of a mutual fund prior to its ex-dividend date, so that the
client will receive the dividends when they are distributed unless this recommendation is justified by the
specific circumstances of the client
II. telling a client that a mutual fund that has only a contingent deferred sales charge is a no load fund
III. telling a client that the interest he earns on a municipal bond fund will be free from federal taxation
IV. refraining from placing the customer's order promptly in order to profit himself as a result of having
done so

A) II and IV only
B) I, II, and IV only
C) I and III only
D) I, II, III, and IV

4. The Howey Decision did what?

A) stipulated that all general partnerships were investment contracts and, therefore, securities, as defined
by the Securities Exchange Act of 1934.
B) determined that certificates of deposit issued by a bank and insured by the FDIC did not qualify as
securities, as defined by the Securities Exchange Act of 1934.
C) defined an investment contract as any investment of money in a common enterprise with the
expectation of earning a profit from the efforts of others.
D) provided for fixed annuities to be excluded from the definition of a security.

5. Your client, Mr. Whiff, knows nothing about investment companies, and you are educating him about the
advantages of investing through one, rather than investing in individual stocks and bonds. Which of the
following statements could get you in trouble?

A) "In investing through an investment company you will be able to invest a small amount of money and
achieve greater diversification than you could otherwise."
B) "An investment in an investment company gives you an undivided interest in the company, in
proportion to the number of shares you own."
C) "Investing through an investment company will result in a lower tax bill than had you invested in
individual stocks and bonds."
D) "By investing your money through an investment company, you are getting the benefit of professional
management."

質問と回答：