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Series 66 Sample Questions
An agent knowingly sells an unregistered exempt security to a number of non accredited investors. According to the USA which of the following are true ?
I. The agent must offer rescission.
II. The agent has engaged in a pattern of unethical practices.
III. The agent does not have to offer rescission.
IV. The agent could be held both civilly and criminally liable for their actions.
An institutional investor is all of the following except:
To maintain registration, the administrator may require:
A local appliance store is promoting it annual fourth of July sale. It has significantly marked down large screen TVs. Also anyone who purchases a large screen TV will receive a $100 US Savings Bond. Which of the following is true?
Creating false activity in a security to attract new purchaser is a fraudulent practice known as:
As it relates to the Uniform Securities Act which of the following are securities ?
I. A Futures contract on a blue chip stock.
II. A futures contract on light sweet crude oil.
III. A put contract on the S & P 500
IV. A variable annuity's separate account.
An agent employed by a brokerage firm solicits a customer's business in a state where the brokerage firm is not registered. Which of the following is not true ?
A Canadian broker dealer regularly conducting business with an insurance company with in the state is:
A registered broker dealer must do which of the following ?
I. Pay SIPC dues
II. Display the SIPC sign
III. Post a fidelity bond
IV. Obtain fingerprint record for associated persons