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FINRA Series6 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Seeks Business for the Broker-Dealer from Customers and Potential Customers | 24% | - Topics in communications, marketing, and solicitation activities |
| Provides Customers with Information About Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records | 50% | - Product information, suitability, recordkeeping and transfers |
| Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 10% | - Transaction processing and verification |
| Opens Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 16% | - Account opening procedures and financial profile evaluation |
FINRA Investment Company and Variable Contracts Products Representative Examination (IR) Sample Questions:
Under FINRA's rules regarding proper supervision, member firms must:
I. have clear written procedures to supervise the activities of its principals, registered representatives, and
other associated persons.
II. designate as an office of supervisory jurisdiction (OSJ) any office of the member that engages in
maintaining custody of the funds and/or securities of the member's customers.
III. prohibit the use of any electronic communication method, including personal electronic devices, for
business-related communications unless the use of the devices can be properly supervised and the
communications retained.
IV. regularly evaluate the effectiveness of its supervisory policies.
- A. I and IV only
- B. I, III, and IV only
- C. I, II, III and IV
- D. I, II, and IV only
Correct Answer: C 🗳️
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Which of the following is not a characteristic of all auction stock exchanges in the U.S.?
- A. If a stock is listed on one of these exchanges, it is not permitted to be listed on any other exchange.
- B. In order to conduct a trade on the exchange, a broker must be a member of the exchange or hold a
license to trade on the exchange. - C. There is a central marketplace.
- D. Stocks that are traded on the exchange must meet certain listing requirements, determined by the
exchange.
Correct Answer: A 🗳️
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The Securities Act of 1933 did what?
- A. It established the requirement that new securities be registered.
- B. It established the SEC as the regulatory agency for the secondary market.
- C. It established the requirement that investment advisers be registered with the SEC.
- D. All of the above are correct answers.
Correct Answer: A 🗳️
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Which of the following is not one of the purposes of FINRA as stated in its articles of incorporation?
- A. encourage members to uphold high ethical standards
- B. police members and assist with dispute settlements
- C. maintain a fair and orderly securities market
- D. develop lines of communication between the securities industry and governmental agencies
Correct Answer: C 🗳️
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Which of the following statements regarding the "rights of accumulation" is true?
- A. A breakpoint must be reached within a 13-month period, at which point the accumulation period begins
anew. - B. All mutual funds that have front-end loads are required to allow their shareholders rights of
accumulation. - C. Reinvested dividends and capital gain distributions count toward reaching a breakpoint under the rights
of accumulation. - D. A letter of intent must be signed to activate the rights of accumulation.
Correct Answer: C 🗳️
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