Free FINRA Series-6 Exam Questions
Absolute Free Series-6 Exam Practice for Comprehensive Preparation
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FINRA Series-6 Exam Questions
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Provided By: FINRA
- Exam: Investment Company and Variable Contracts Products Representative
- Certification: FINRA Representative-level
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Total Questions: 328
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Updated On: Feb 17, 2025
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Rated: 4.9 |
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Online Users: 656
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Question 1
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Which of the following do not fall under the category of “advertisement,” as defined by FINRA? I. scripts used in telemarketing the products of the member firm II. a website maintained by the member firm III. research reports that the member firm distributes to both its existing clients and its prospective clients IV. sales material that a member firm distributes only to its institutional clients
Answer: C
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Which of the following do not fall under the category of “advertisement,” as defined by FINRA? I. scripts used in telemarketing the products of the member firm II. a website maintained by the member firm III. research reports that the member firm distributes to both its existing clients and its prospective clients IV. sales material that a member firm distributes only to its institutional clients
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Question 2
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All government bonds and the majority of corporate bonds are traded:
Answer: D
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All government bonds and the majority of corporate bonds are traded:
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Question 3
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NASDAQ is:
Answer: D
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NASDAQ is:
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Question 4
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By investing in a diversified portfolio, an investor will:
Answer: B
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By investing in a diversified portfolio, an investor will:
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Question 5
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Paul is 36 years old and is married with two children, ages eight and ten. Paul lays carpet for a living, working as an independent contractor, and earns about $35,000 a year. His wife, Paula, is 33 years old, drives a school bus and earns only $18,000 a year, but her job provides the family with low-cost health insurance. They live conservatively and barely make ends meet. Paula recently inherited $180,000, however, and the couple would like to invest it, with the goal that they can both retire when Paul turns 62. The inheritance also included an educational endowment for their children, so they will not have to worry about saving for their children’s college educations. Which of the following would not be a suitable recommendation for the allocation of their investment monies?
Answer: A
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Paul is 36 years old and is married with two children, ages eight and ten. Paul lays carpet for a living, working as an independent contractor, and earns about $35,000 a year. His wife, Paula, is 33 years old, drives a school bus and earns only $18,000 a year, but her job provides the family with low-cost health insurance. They live conservatively and barely make ends meet. Paula recently inherited $180,000, however, and the couple would like to invest it, with the goal that they can both retire when Paul turns 62. The inheritance also included an educational endowment for their children, so they will not have to worry about saving for their children’s college educations. Which of the following would not be a suitable recommendation for the allocation of their investment monies?