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FINRA-SERIES-6 Exam Questions & Answers

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FINRA-SERIES-6 Exam Questions & Answers

Vendor: FINRA

Certifications: FINRA Certifications

Exam Code: FINRA-SERIES-6

Exam Name: FINRA Investment Company and Variable Contracts Products Representative (IR)

Updated: Dec 16, 2024

Q&As: 60

Exam retired

PDF Only: $49.99 VCE Only: $55.99 PDF + VCE: $65.99

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FINRA-SERIES-6 Online Practice Questions and Answers

Questions 1

What did the Howey Decision?

A. provided for fixed annuities to be excluded from the definition of a security.

B. 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.

C. stipulated that all general partnerships were investment contracts and, therefore, securities, as defined by the Securities Exchange Act of 1934.

D. 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.

Show Answer
Questions 2

Tex Payor bought 1,500 shares of the Bonds4U Mutual Fund, a no load fund, on June 12th for $28 a share and sold the shares the following year on June 11th for $40 a share.

This will result in which of the following tax consequences for Tex?

A. Tex will have to pay tax on $18,000, taxed as ordinary income at his marginal tax rate.

B. Tex will have to pay tax on $40,000, taxed as ordinary income at his marginal tax rate.

C. Tex will have to pay tax on $18,000 of capital gain income, taxed at the preferential rate for long-term capital gains.

D. Tex will have to pay tax on $40,000 of capital gain income, taxed at the preferential rate for long-term capital gains.

Show Answer
Questions 3

HiTop Investments main office is located in the state of Colorado. A registered representative of the firm sent out an e-mail to his clients, some of whom reside in other states, promoting the firm's Colorado Municipal Bond Fund, which invests exclusively in bonds offered by the state and local governments of Colorado. In the e-mail, the representative states, “These bonds provide income that is free from both federal and state taxes and may also be free from local taxation, if any exists.”

Is this e-mail in violation of any securities’ laws?

A. No. Since the fund invests exclusively in bonds offered by the state and local governments of Colorado, the representative's statement contains no misstatement of fact.

B. Yes. Advertisements referring to a specific fund may not be distributed by electronic means.

C. Yes. A fund that invests only in bonds offered by state and local governments of one state may not be sold to investors who reside in other states.

D. Yes. The representative's statement that the” bonds provide income that is free from both federal and state taxes and may also be free from local taxation, if any exists,” is untrue.

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