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Series 6 Sample Questions
FINRA's gift rule applies to all of the following except:
A mutual fund has been seeking to attract new customers to invest in its growth fund. They have been running an advertising campaign where they have been marketing themselves as a diversified mutual fund. How much of any one company may they own?
In order for a retired agent to continue to receive commission on the book of business they have built over their career they must have:
Outstanding stock is best described as:
An Investor needs to calculate her capital gains on her Mutual Fund which she is redeeming now. She bought 1000 shares for $8.25 per share four years ago, and she is receiving $12.25 per share today. What is her capital gain/loss per share and in total?
Unauthorized trading is:
The prime rate is:
An investor who wants to take action against firm or representative has how long to bring the case to arbitration:
The Maloney Act of 1938 was an amendment to:
XYZ Incorporated has 15,000,000 shares of common stock authorized, 11,000,000 shares have been issued and there are 4,000,000 shares of treasury stock. How many shares are outstanding?