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在購買 FINRA Series6 認證考試培訓資料之前,你還可以下載免費的 Series6 考古題樣本作為試用,這樣你就可以自己判斷 FINRA Series6 題庫資料是不是適合自己。在購買 FINRA Series6 考古題之前,你可以去本網站瞭解更多的資訊,更好地瞭解這個網站。您會發現這是當前考古題提供者中的佼佼者,我們的 FINRA Series6 題庫資源不斷被修訂和更新,具有很高的通過率。
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最新的 FINRA Certification Series6 免費考試真題:
1. On Friday, August 6th, the Board of Directors of Ecolab (ECI) announced that it would pay a dividend of
$ 0.155 a share to shareholders of record as of Tuesday, September 21st.The dividend checks were
scheduled to be mailed on Friday, October 15th. In this scenario, the payment date is:
A) Friday, August 6th.
B) Friday, September 17th.
C) none of the above.
D) Tuesday, September 21st.
2. The mortality guarantee of a variable annuity contract:
A) None of the above is a true statement about the mortality guarantee of a variable annuity contract.
B) guarantees that both you and a person you specify as your beneficiary will continue to receive
payments as long as one of the two of you is alive.
C) guarantees a fixed death benefit amount will paid to your beneficiaries upon your death.
D) guarantees that you can receive a monthly check of a specified amount as long as you live.
3. Ms. Ears is an investment adviser representative. During lunch today, she overheard two men talking
about a hostile takeover that their firm was preparing to undertake. Based on this information, Ms. Ears
does not hesitate to advise the client she meets with immediately after lunch-Mrs. Clueless-- to invest a
sum of money in the firm the men had named as the target firm. Ms. Ears remembers that the price of
target firms, on average, increases significantly with an announcement of this sort, but she does not
inform Mrs. Clueless of the reason underlying her recommendation. Has there been any violation of
insider trading laws in this scenario, as described?
A) No. The scenario does not suggest that Ms. Ears herself made any investment in the target firm, and
Mrs. Clueless was not made aware of the basis for Ms. Ears' recommendation.
B) No. Ms. Ears is not considered to be an insider of the company preparing the hostile takeover.
C) Yes. Both Ms. Ears and the two men have violated insider trading laws. The two men are prohibited
from discussing such private information in a public setting, and Ms. Ears is prohibited from making a
recommendation based on that information.
D) Yes. In making a recommendation based on information that was not publicly available, Ms. Ears has
violated insider trading laws and is subject to both civil and criminal penalties.
4. Which of the following securities is not exempt from registration requirements?
A) a bond issued by the U.S. post office
B) a revenue bond issued by the state of Florida to raise money to build an airport
C) a new issue of stock issued by a corporation that already has shares of its stock trading on the NYSE
D) private-placement variable universal life insurance
5. Which of the following statements regarding a unit investment trust (UIT) is false?
A) All UITs are established with a termination date.
B) A UIT has a fixed number of shares.
C) UITs are actively managed.
D) Shares of UITs trade on exchange floors.
問題與答案:
問題 #1 答案: C | 問題 #2 答案: A | 問題 #3 答案: D | 問題 #4 答案: C | 問題 #5 答案: C |
183.12.187.* -
用你們的考試題庫,大約一個星期的學習,我就順利的通過了Series6考試,簡直太棒了!