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Series 6 Exam: Study Guide & Practice Final Exam

Free Practice Test Instructions:

Choose your answer to the question and click 'Continue' to see how you did. Then click 'Next Question' to answer the next question. When you have completed the free practice test, click 'View Results' to see your results. Good luck!

Question 1 1. All the following is included in the cover page section of a financial prospectus except for _____.

Question 2 2. The difference in an official statement and a preliminary official statement is that a preliminary official statement _____.

Question 3 3. An the end of an annuity contract, what happens to the remaining funds in the account?

Question 4 4. What is it called when an annuity account sum begins to pay out periodic income payments at retirement?

Question 5 5. Julissa has told her investment adviser that she wants a well-balanced portfolio. He has invested her portfolio in a mix of stocks, bonds, and real estate. However, one of the real estate investments he's made is for a beachfront condo development in the middle of a landlocked state. Which obligation to suitability has Julissa's adviser violated?

Question 6 6. Julissa has told her investment adviser that she wants a well-balanced portfolio. He has invested her entire portfolio in one company. Which obligation to suitability has Julissa's adviser violated?

Question 7 7. Austin works for an investment firm. Recently, a customer sent a DM on Twitter to Austin to complain about the conduct of one of the investment advisors at Austin's firm. Does Austin have to report this?

Question 8 8. Maria's brother is running for senate in her state. Maria wants to donate to his campaign. According to FINRA Rule 4580, she can donate up to _____ without documentation since she is able to vote for him.

Question 9 9. Employers typically establish profit sharing plans to _____.

Question 10 10. A non-qualified retirement plan fails to qualify to which law's standards?

Question 11 11. Under Rule G-27 of the MSRB, a firm must appoint an appropriate principal who is:

Question 12 12. Under Rule G-27 of the MSRB, a broker or dealer must perform a _____ at least annually.

Question 13 13. What is a 'derivative,' when speaking of financial instruments?

Question 14 14. What is one big advantage of raising cash through issuing commercial paper?

Question 15 15. What is the quantitative obligation requirement of the Suitability Standard (FINRA Rule 2111)?

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Series 6 Exam: Study Guide & Practice Final Free Practice Test Instructions

Choose your answer to the question and click 'Continue' to see how you did. Then click 'Next Question' to answer the next question. When you have completed the free practice test, click 'View Results' to see your results. Good luck!

Series 6 Exam: Study Guide & Practice  /  Business Courses
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