FINRA FINRA-SERIES-6 Exam Questions & Answers

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Questions 1

Which of the following securities would be exempt from SEC registration requirements?

I. a 15-year bond issued by the state of Colorado

II. an issue of preferred stock that has an aggregate par value of $5 million

III.

an issue of commercial paper that has a 5-month maturity

I only

III only

I and III only

I and II only

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Questions 2

Which of the following is exempt from registering as an investment company under the Investment Company Act of 1940?

A. a unit investment trust

B. a non-diversified mutual fund

C. a company that sells its securities only to accredited investors

D. a company that has no sales charges or management fees

Show Answer

Questions 3

The total of a mutual fund's front-end load, rear-end load, and 12b-1 fees may not exceed: A. 10.0% of the fund's offer price.

B. 10.0% of the fund's net asset value.

C. 8.5% of the fund's offer price.

D. 8.5% of the average annual net assets of the fund.

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