Series6 題庫產品免費試用
我們為你提供通过 FINRA Series6 認證的有效題庫,來贏得你的信任。實際操作勝于言論,所以我們不只是說,還要做,為考生提供 FINRA Series6 試題免費試用版。你將可以得到免費的 Series6 題庫DEMO,只需要點擊一下,而不用花一分錢。完整的 FINRA Series6 題庫產品比試用DEMO擁有更多的功能,如果你對我們的試用版感到滿意,那么快去下載完整的 FINRA Series6 題庫產品,它不會讓你失望。
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為你提供購買 FINRA Series6 題庫產品一年免费更新,你可以获得你購買 Series6 題庫产品的更新,无需支付任何费用。如果我們的 FINRA Series6 考古題有任何更新版本,都會立即推送給客戶,方便考生擁有最新、最有效的 Series6 題庫產品。
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最新的 FINRA Certification Series6 免費考試真題:
1. Which of the following statements regarding a mutual fund's expenses are true?
A) A mutual fund's record maintenance fees cannot exceed 0.25% of average net assets.
B) The expense ratio of a mutual fund cannot exceed 1.0%.
C) A mutual fund family is prohibited from charging a fee when an investor exchanges his shares of one of
its funds for another.
D) A mutual fund that has a front-end load cannot also charge 12b-1 fees.
2. Which of the following statements regarding insider trading penalties is true?
A) The SEC may seek both civil and criminal penalties against an individual who is found guilty of insider
trading.
B) Any contemporaneous trader who has lost money due to an illegal insider trade may sue the violator
for both the amount of his losses and pain and suffering, as determined by the court.
C) Both A and C are true statements.
D) A broker-dealer who is found to have provided inadequate supervision over an agent who is found
guilty of insider trading is also subject to insider trading penalties.
3. The Federal Reserve announces that it plans to buy $3.89 billion in Treasury securities on the open
market. All else equal, which of the following is a likely result of this Fed action?
A) Money supply will increase, causing interest rates to fall.
B) Stock and bond prices should increase.
C) Interest rates will rise, causing security prices to fall.
D) Both B and C are likely results of this Fed action.
4. A preemptive right:
A) is a call option that is usually attached to a bond as a sweetener.
B) is a feature on some preferred stock issues that allows the preferred shareholders to exchange their
preferred shares for shares of the common stock of the firm.
C) entitles its owner to buy shares of stock at a specified price within a specified time period in order to
maintain his proportionate ownership in the firm.
D) gives a bond owner the option to sell the bond back to the issuer at a pre-specified price.
5. Which of the following correctly describes a difference between closed-end and open-end investment
companies?
A) Shares of open-end companies sell on exchange floors; shares of closed-end companies are bought
and sold through the company itself.
B) Open-end investment company shares will never be offered at a price below the net asset value per
share of the fund; this is not true of closed-end companies.
C) Open-end investment companies have a fixed number of shares; closed-end companies can create
new shares if there are more buyers than sellers.
D) Open-end companies may invest in non-diversified portfolios; closed-end companies are required to
invest only in diversified portfolios.
問題與答案:
問題 #1 答案: A | 問題 #2 答案: C | 問題 #3 答案: D | 問題 #4 答案: C | 問題 #5 答案: B |
1.165.144.* -
Series6 考試没有太大的变化,問題和答案在 Sfyc-Ru 網站上可以找到,有你們提供的題庫真是太好了。