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Series 6 Practice Exam

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Series 6 Practice Exam A registered representative making a sales presentation based on performance statements and charts is permitted to make which of the following observations? - ANS - The fund has had a positive p ...

Series 6 Practice Exam A registered representative making a sales presentation based on performance statements and charts is permitted to make which of the following observations? - ANS - The fund has had a positive performance in the last few years. An investor is in the annuity stage of a variable annuity purchased 15 years ago. During the present month, if the annuitant receives a check for an amount that is less than the previous month's payment, which scenario likely occurred? - ANS - The account's performance was less than the assumed interest rate. Three 3% bonds are listed in the newspaper. One bond will mature in one year, another bond will mature in ten years, and the third bond will mature in 20 years. If interest rates are going up, which bond will have the greatest decrease in value? - ANS - The bond with the 20-year maturity. In which of the following equity securities do stockholders have preemptive rights? - ANS - Common stock. All of the following statements about a bond selling above par value are true EXCEPT: - ANS - the nominal yield always stays the same. When the annual report of a mutual fund is used as sales literature, which of the following statements are TRUE? The principal of the firm must approve its use for that purpose. A prospectus need not accompany the report, provided it includes instructions for obtaining a prospectus. The figures contained in the report must be as of a specific date. The report must contain a list of the industries in which the fund invests. - ANS - I and III. A registered representative elected to terminate her registration while raising her child. She would be able to re-affiliate with a FINRA member in the same license capacity without re- examination if she filed a Form U-4 within: - ANS - 2 years of the effective date of her Form U5 filing. ABC stock is quoted at 67.75 bid 67.85 ask. If an investor wishes to purchase one round lot from the broker-dealer, excluding commissions, the investor would pay: - ANS - $6,785. A retired man has $100,000 to invest for growth. He also owes a $10,000 note due in 6 months, a $20,000 note due in one year and a $25,000 note due in two years. How much of the $100,000 should he allocate to growth investments? - ANS

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