FINRA Series-6 DUMPS WITH REAL EXAM QUESTIONS

PDF Last Updated : Feb 12, 2024
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325 Total Questions

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Free FINRA Series-6 Sample Questions

Question 1

The entity that serves as the auctioneer for trades conducted on an organized exchange floor is known as a:

A. registered trader.
B. specialist.
C. floor broker. 
D. commission broker.

Answer: B

Question 2

Under current tax law, in order for the profits from the sale of any investment to be considered long -term capital gain income, the investment must have been held for:

A. longer than 6 months.
B. longer than 12 months.
C. longer than 18 months.
D. longer than 24 months.

Answer: B

Question 3

The board of directors of a mutual fund is responsible for:I. authorizing purchases and sales of securities made by the fund.II. approving the fund’s contract with its investment adviser.III. ensuring that the fund complies with federal securities laws regarding such issues as 12b -1 fees.IV. establishing the fund’s dividend and capital gains policy.

A. I and IV only
B. I, II, and IV only
C. II, III, and IV only
D. I, II, III, and IV

Answer: C

Question 4

You have a client, Richie Rich, who is in the 39.6% marginal tax bracket, and one of his investment goals is to minimize his payments to the IRS.Which of the following instruments would serve this purpose?

A. U.S. Treasury bills
B. general obligation bonds
C. an investment-grade corporate bond
D. Both Selections A and B would serve to minimize his payments to the IRS.

Answer: B

Question 5

Mr. Shortfall placed a market order to buy 100 shares of Google (GOOG) with GetErDone Broker-Dealers. The market order was executed at $530 a share. In accordance with Regulation T:

A. Mr. Shortfall must pay for the purchased shares within 3 business days.
B. Mr. Shortfall must pay for the purchased shares within 5 business days.
C. GetErDone can request an extension from FINRA or another SRO for Mr. Shortfall if he is unable to pay for the shares within 5 business days.
D. Both B and C are true statements. 

Answer: D

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