최신 FINRA Certification Series6 무료샘플문제:
1. Under the rules of ERISA, all private-employer sponsored retirement plans must:
A) allow any employee to participate in the retirement plan as long as the employee is at least 21 years
old.
B) exclude anyone who has not been employed with the firm for at least five years.
C) be defined contribution plans.
D) provide a specific vesting schedule under which all participants in the plan will become 100% vested
after having been in the firm's employ for seven or fewer years.
2. Sarah Bean is a registered representative with NewWave Investments, a family of mutual funds. She has
recommended one of NewWave's funds to a client and given him a prospectus. The prospectus provides
information about the fund's breakpoints and indicates that an investment of $25,000 or more will lead to
a reduced front-end load. The prospectus also clearly explains the details of a letter of intent. Sarah's
client invests $23,000 in the fund then and there without even opening the prospectus. Has Sarah violated
any of FINRA's rules of conduct?
A) Yes. Sarah needed to tell her client that he would have to read through the prospectus to ensure he
understood all aspects of the investment before she could take any money from him.
B) No. Sarah properly provided her client with a prospectus prior to selling him shares of the fund.
C) Yes. Sarah is not permitted to accept funds from a client without the presence of her immediate
supervisor.
D) Yes. Sarah is required to explain the concepts of breakpoints and letters of intent to her client.
3. The price at which an investor can sell a security to a market maker in the over-the-counter market is
called the:
A) ask price.
B) put price.
C) sale price.
D) bid price.
4. MBIA, Inc., a municipal bond insuring company, has a bond issue that is selling for $80.05 per $100 of par.
The bond has a coupon rate of 7%, with semiannual payments, and matures in 2025. The current yield on
this bond is:
A) 9.550%.
B) 7.000%.
C) 8.745%.
D) none of the above.
5. Mandatory guidelines for the prospectuses of which of the following are dictated by the Investment
Company Act of 1940?
I. mutual funds
II. closed-end investment companies
III. unit investment trusts
IV. variable contracts
A) I and II only
B) I, II, III, and IV
C) II only
D) I, II, and III only
질문과 대답:
| 질문 # 1 정답: D | 질문 # 2 정답: D | 질문 # 3 정답: D | 질문 # 4 정답: C | 질문 # 5 정답: B |
927 개 고객 리뷰
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