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最新的 FINRA Certification Series6 免費考試真題:
1. Under the 1988 Insider and Securities Enforcement Act, a person convicted of insider trading can be
subject to:
A) up to 10 years in prison and a fine of either $1.5 million or up to 150% of the amount of profits gained or
losses avoided, or both.
B) up to 10 years in prison and a fine of either $1 million or up to 3 times the amount of profits gained or
losses avoided, whichever is greater.
C) up to 10 years in prison and a fine of $1,500,000 or both.
D) up to 5 years in prison, a $150,000 fine, or both.
2. Which of the following is not one of the purposes of FINRA as stated in its articles of incorporation?
A) encourage members to uphold high ethical standards
B) develop lines of communication between the securities industry and governmental agencies
C) police members and assist with dispute settlements
D) maintain a fair and orderly securities market
3. Noah Mete is interested in selling his shares of the Lambchops Corporation, which trades
over-the-counter. The market maker with the best bid price--$3.15--is Veggie Investments. The market
maker with the best ask price--$3.27-is Carnivor Investments. Noah conducts trades in NYSE-listed
stocks through his broker, Omnivor and Associates. Given this scenario, which of the following
statements is true?
A) Noah can sell his shares of Lambchops Corporation at the ask price of $3.27 by contacting Carnivor
Investments directly.
B) Noah can sell his shares of Lambchops Corporation at the ask price of $3.27 by contacting Omnivor
and Associates.
C) Noah can sell his shares of Lambchops Corporation at the bid price of $3.15 by contacting Veggie
Investments directly.
D) Noah can sell his shares of Lambchops Corporation at the bid price of $3.15 by contacting Omnivor
and Associates.
4. Chandler is a registered representative with GetErDone Broker-Dealers, a FINRA member-firm. His friend,
Phoebe, is employed by FlyByNight Investments, which is not a member of FINRA, or any other securities
association for that matter. Given these facts:
A) If Chandler executes any transactions for Phoebe, he is required to charge her the same commission
that he charges any member of the general public.
B) Chandler is prohibited from splitting any commissions with Phoebe.
C) Both A and C are true.
D) Chandler is prohibited from engaging in any financial transactions with Phoebe.
5. A table providing detailed information on the various fees and expenses charged by a mutual fund can be
found in the fund's:
A) financial statements.
B) Statement of Additional Information (SAI. )
C) annual report.
D) prospectus.
問題與答案:
問題 #1 答案: B | 問題 #2 答案: D | 問題 #3 答案: D | 問題 #4 答案: C | 問題 #5 答案: D |
125.39.112.* -
前幾天去參加了Series6考試,好險哦,分數剛好通過!但是我還是很感謝,因為作為我這樣一個沒有基礎的考生而言,使用考題套裝,還通過了,難得哦!而且我是半年之前賣的,每次有更新,客服人員都會將更新版本送到我的收貨E-Mail,不錯的服務。