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Series6 PDF DEMO:

QUESTION NO: 1
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: 2
A bond issued by the Needy Corporation pays an 8% coupon, matures in ten years, and is selling for its
face value of $1,000.The yield-to-maturity on this bond is:
A. less than its coupon rate of 8%.
B. greater than its coupon rate of 8%.
C. equal to its coupon rate of 8%.
D. indeterminable with the information provided.
Answer: C
Explanation: Since the bond is selling for its face value, its yield-to-maturity is equal to its coupon rate.

QUESTION NO: 3
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: 4
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: 5
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.

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Updated: May 26, 2022