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FINRA Series6 考試大綱主題:

最新的 FINRA Certification Series6 免費考試真題：

問題 #1

Jill worked as a registered representative with GoForBroke Broker-Dealers for 8 years. She is married to
Jack, whose job made it necessary for them to relocate to Thailand for 3 years. They have now returned,
and Jill would like to begin working as a registered representative with GoForBroke again after her 3-year
hiatus. Given this scenario:

A. Both A and C are true statements.
B. As long as GoForBroke maintained Jill as a registered representative for its firm during her hiatus, Jill
can begin working in her previous position immediately. There is no need to file additional paperwork or
pay any fees to FINRA.
C. Jill can begin working in her previous position with GoForBroke immediately, but GoForBroke will have
to register her as one of its representatives with FINRA within 30 days of her hire date, and Jill will have to
pay the applicable filing fees within that same period of time.
D. Jill will have to retake the qualifying FINRA exams for her position, and after she has done so
successfully, GoForBroke must register her with FINRA as one of its representatives.

問題 #2

Marge is 57 and wants to retire early. Since she is not yet eligible for social security, she wants to begin
tapping a variable annuity to which she has been contributing for the last 20 years. Which of the following
statements regarding her withdrawals is true?

A. Marge can begin her withdrawals tax-free and without penalty under IRS rule 72(t) as long as she does
so following the specific guidelines for a period of five years.
B. Marge can begin her withdrawals tax-free and without penalty under IRS rule 72(t) as long as she does
so following the specific guidelines until she turns 59 1/2 , at which point she will no longer have to follow
the specific guidelines.
C. There is no way that Marge can begin making withdrawals without facing a 10% penalty for early
withdrawal unless she is disabled or needs the money for medical expenses.
D. Marge can begin her withdrawals without penalty under IRS rule 72(t) as long as she does so following
the specific guidelines for a period of five years; however, the withdrawals will be subject to taxation.

問題 #3

A discretionary account authorization permits a registered representative to decide:

A. whether to make a purchase or a sale.
B. what specific asset to purchase or sell.
C. all of the above.
D. how much of an asset to buy or sell for the account.

問題 #4

Dr. Floss has just earned his dental degree and wants to establish a private dental practice. He has had a
bit of sticker shock at the price of all the equipment this will require him to purchase. Because he still has
a large student loan to repay, he has been unable to borrow any money from his financial institution. To
raise capital, he decides to sell fifty ownership interests of $1,000 each to interested investors and takes
out a full page ad in a local newspaper to advertise this investment. In this scenario:

A. Dr. Floss has violated the provisions of the Securities Act of 1933 and may face civil penalties.
B. Dr. Floss has not violated any laws since these ownership interests do not fall under the definition of a
security.
C. Dr. Floss has not violated any laws since the notes have a face value of only $1,000 and he is selling
them to a maximum of 50 different investors.
D. Dr. Floss can be charged with criminal fraud under the provisions of the Securities Exchange Act of
1 934.

問題 #5

You have a young client whose primary investment objective is to be able to retire early. Really early.
She's thinking 40.She has more than sufficient income to meet her current needs for cash. Which of the
following types of stock funds would be most suitable for her?

A. value
B. All of the above. All stock funds invest in stocks, which can be expected to appreciate in value.
C. balanced
D. growth

問題與答案：