弊社はあなたに相応しくて品質高いSeries6最新テスト問題集を提供します。また、あなたの持っている問題集は一年間の無料更新を得られています。あなたは十分の時間でSeries6最新テスト試験を準備することができます。 NewValidDumpsは君のために良い訓練ツールを提供し、君のFINRA認証試に高品質の参考資料を提供しいたします。あなたの全部な需要を満たすためにいつも頑張ります。 Series6最新テスト問題集を使用してから、あんたはIT業界でのエリートになります。

FINRA Certification Series6 きっと君に失望させないと信じています。

Series6 - Investment Company and Variable Contracts Products Representative Examination (IR)最新テスト試験参考書があれば,ほかの試験参考書を勉強する必要がないです。 我々は受験生の皆様により高いスピードを持っているかつ効率的なサービスを提供することにずっと力を尽くしていますから、あなたが貴重な時間を節約することに助けを差し上げます。NewValidDumps FINRAのSeries6 復習攻略問題試験問題集はあなたに問題と解答に含まれている大量なテストガイドを提供しています。

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最近の数年間で、IT領域の継続的な発展と成長に従って、Series6最新テスト認証試験はもうFINRA試験のマイルストーンになりました。FINRAのSeries6最新テスト「Investment Company and Variable Contracts Products Representative Examination (IR)」の認証試験はあなたがIT分野のプロフェッショナルになることにヘルプを差し上げます。FINRAのSeries6最新テストの試験問題を提供するウェブが何百ありますが、なぜ受験生は殆どNewValidDumpsを選んだのですか。それはNewValidDumpsにはIT領域のエリートたちが組み立てられた団体があります。その団体はFINRAのSeries6最新テストの認証試験の最新の資料に専攻して、あなたが気楽にFINRAのSeries6最新テストの認証試験に合格するためにがんばっています。NewValidDumpsは初めにFINRAのSeries6最新テストの認証試験を受けるあなたが一回で成功することを保証します。NewValidDumpsはいつまでもあなたのそばにいて、あなたと一緒に苦楽を共にするのです。

NewValidDumpsを選んだら、あなたは簡単に認定試験に合格することができますし、あなたはITエリートたちの一人になることもできます。まだ何を待っていますか。

Series6 PDF DEMO:

QUESTION NO: 1
Simple Simon owns 1,000 shares in the Pasty Pie Corporation, which has just declared a stock dividend
of 5%.Just prior to this announcement, Pasty Pie was selling for $10 a share. This announcement will:
A. increase Pasty's shares outstanding and reduce Simple's proportionate ownership in the firm.
B. increase the number of shares that Simple owns to 1,050, which will increase the market value of the
shares that he owns from $10,000 to $10,500.
C. increase the number of shares that Simple owns to 1,050, but this will not affect the market value of
Simple's holdings.
D. increase Simple's cash by the amount of the dividend paid: 0.05 x $10 = $0.50 x 1,000 shares =
$500.
Answer: C
Explanation: If Simple Simon owns 1,000 shares of Pasty Pie Corporation when Pasty declares a 5% stock dividend, the stock dividend will increase his number of shares to 1,050, but it will not affect the
market value of Simple's holdings since the market price per share will also decrease proportionately.
The
aggregate market value of the firm stays the same, but the number of shares outstanding increases, resulting in a lower market value per share. Simple's proportionate ownership remains the same because
his shares increased in the same percentage as the shares outstanding of the firm did. A stock dividend
does not result in any cash payments to the shareholders.

QUESTION NO: 2
Which of the following would be a reason for a person to receive a statutory disqualification from
membership in FINRA?
A. The person is on the verge of financial insolvency.
B. The person has been barred from membership in one of the national exchanges.
C. The person has made a misleading statement of material fact on the membership application.
D. All of the above are reasons for a person to receive a statutory disqualification from membership in
FINRA.
Answer: D
Explanation: All of the choices are reasons for a person to receive a statutory disqualification from membership in FINRA. A person is subject to a statutory disqualification from membership in any self-regulatory organization (SRO) if it is considered to be financially weak, if it has been barred from membership in any other SRO, or if it has made a misleading statement of material fact on the membership application. Nor is this an exhaustive list of reasons that a person would face a statutory disqualification.

QUESTION NO: 3
Total Investments, a family of mutual funds, has prepared some new PowerPoint slides that it will use at a
free financial planning seminar it offers to the general public. The new slides:
I. must be signed and dated by a registered principal of Total Investments.
II. must be filed with FINRA 10 business days prior to their first use.
III. must be kept in a separate file by Total for three years after the date of their first use.
A. I only
B. I and II only
C. I and III only
D. I, II, and III only
Answer: C
Explanation: Only Selections I and III are correct. The PowerPoint slides that are being used at a financial
planning seminar fall under the definition of sales literature and, as such, must be signed and dated by a
registered principal of Total Investments and must be maintained in a separate file by Total for three years
after the date of their first use. Sales literature must also be filed with FINRA within 10 business days of
first use, but not prior to the first use, unless it concerns bond volatility ratings.

QUESTION NO: 4
A table providing detailed information on the various fees and expenses charged by a mutual fund can be
found in the fund's:
A. Statement of Additional Information (SAI. )
B. prospectus.
C. financial statements.
D. annual report.
Answer: B
Explanation: A table providing detailed information on the various fees and expenses charged by a mutual
fund can be found in the fund's prospectus. The other choices provide a wealth of information regarding
such items as investment strategies, fund holdings, and financial statements, however.

QUESTION NO: 5
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
Explanation: The board of directors of a mutual fund is responsible for the activities described in
Selections II, III, and IV only. The board is responsible for approving the fund's contract with its investment
adviser, ensuring that the fund complies with federal securities laws regarding such issues as 12b-1 fees,
and establishing the fund's dividend and capital gains policy. It is not involved in the fund's day-to-da y
operations, such as the purchases and sales of securities as described in Selection I.

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Updated: May 26, 2022