FINRA FINRA-SERIES-6 Exam Dumps

Vendor: FINRA
Exam Code: FINRA-SERIES-6
Exam Name: FINRA Investment Company and Variable Contracts Products Representative (IR)
Certification: FINRA Certifications
Total Questions: 60 Q&A
Updated on: Dec 10, 2024
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Free FINRA-SERIES-6 Exam Questions in PDF Format

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FINRA-SERIES-6 Online Practice Questions and Answers

Questions 1

Which of the following are fiscal policy tools under the jurisdiction of the U.S. Congress?

A. the decision on the amount of cash reserves that a bank must hold

B. the decision on whether to raise or lower effective tax rates

C. the decision on whether to raise or lower the rate at which banks can borrow money from the Federal Reserve

D. Both A and B are fiscal policy tools

Show Answer

Questions 2

Jill worked as a registered representative with GoForBroke Broker-Dealers for 8 years. She is married to Jack, whose job made it necessary for them to relocate to Thailand for 3 years. They have now returned, and Jill would like to begin working as a registered representative with GoForBroke again after her 3 -year hiatus. Given this scenario:

A. Jill can begin working in her previous position with GoForBroke immediately, but GoForBroke will have to register her as one of its representatives with FINRA within 30 days of her hire date, and Jill will have to pay the applicable filing fees within that same period of time.

B. Jill will have to retake the qualifying FINRA exams for her position, and after she has done so successfully, GoForBroke must register her with FINRA as one of its representatives.

C. As long as GoForBroke maintained Jill as a registered representative for its firm during her hiatus, Jill can begin working in her previous position immediately. There is no need to file additional paperwork or pay any fees to FINRA.

D. Both A and C are true statements.

Show Answer

Questions 3

When a client purchases a variable contract through you, he should be informed that his money will be invested:

A. at the most recent price for which the contract sold.

B. at the next price that is computed after the contract application is accepted by the insurance company.

C. at the previous day's close price for the contract.

D. in a product with a guaranteed cash value.

Show Answer More Questions

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