どちらを受験したいですか。ここで言いたいのはSeries6模擬資料試験です。この試験を受けたいなら、NewValidDumpsのSeries6模擬資料問題集はあなたが楽に試験に合格するのを助けられます。 優れたキャリアを持ったら、社会と国のために色々な利益を作ることができて、国の経済が継続的に発展していることを進められるようになります。全てのIT人員がそんなにられるとしたら、国はぜひ強くなります。 では、どうしたらいいでしょうか。

FINRA Certification Series6 その夢は私にとってはるか遠いです。

FINRA Certification Series6模擬資料 - Investment Company and Variable Contracts Products Representative Examination (IR) は 最近、FINRAのSeries6 最新日本語版参考書試験は非常に人気のある認定試験です。あなたもこの試験の認定資格を取得したいのですか。

NewValidDumpsを選ぶなら、私たちは君の認定試験に合格するのを保証します。ITエリートになるという夢は現実の世界で叶えやすくありません。しかし、FINRAのSeries6模擬資料認定試験に合格するという夢は、NewValidDumpsに対して、絶対に掴められます。

FINRA Series6模擬資料 - 試験に失敗したら、全額で返金する承諾があります。

高質のFINRA試験資料を持って、短い時間で気軽に試験に合格したいですか？そうしたら、我が社NewValidDumpsのSeries6模擬資料問題集をご覧にください。我々Series6模擬資料資料はIT認定試験の改革に準じて更新していますから、お客様は改革での問題変更に心配するは全然ありません。お客様か購入する前、我が社NewValidDumpsのSeries6模擬資料問題集の見本を無料にダウンロードできます。

すべては豊富な内容があって各自のメリットを持っています。あなたは各バーションのFINRAのSeries6模擬資料試験の資料をダウンロードしてみることができ、あなたに一番ふさわしいバーションを見つけることができます。

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
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.

QUESTION NO: 5
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.

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Updated: May 26, 2022