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最新的 FINRA Certification Series6 免費考試真題:

1. Mr. Big of HiGrow Corporation needs more money to support the exceptional growth rate that his firm is
enjoying. He meets with BigFee Investment Banker, who agrees to handle the IPO for HiGrow.
Subsequently, InTheLoop Brokerage is tapped to be part of the selling group that will handle the sale of
the new stock to the public. In this example, the underwriter is:

A) HiGrow Corporation
B) InTheLoop Brokerage
C) BigFee Investment Banker
D) Mr. Big

2. Phil Anthropy wrote his cousin a $15,000 check to pay for medical bills the cousin had accumulated. He
also distributed $5,000 checks to three nephews who were in college, and gave his mother a check for
$ 12,000. Have Phil's actions triggered any gift taxes?

A) Yes, $2,000 of his total distributions is subject to the gift tax.
B) No. None of Phil's distributions is subject to the gift tax.
C) Yes, $19,000 of his total distributions is subject to the gift tax.
D) Yes, $7,000 in distributions is subject to the gift tax.

3. Sarah Bean is a registered representative with NewWave Investments, a family of mutual funds. She has
recommended one of NewWave's funds to a client and given him a prospectus. The prospectus provides
information about the fund's breakpoints and indicates that an investment of $25,000 or more will lead to
a reduced front-end load. The prospectus also clearly explains the details of a letter of intent. Sarah's
client invests $23,000 in the fund then and there without even opening the prospectus. Has Sarah violated
any of FINRA's rules of conduct?

A) Yes. Sarah is required to explain the concepts of breakpoints and letters of intent to her client.
B) No. Sarah properly provided her client with a prospectus prior to selling him shares of the fund.
C) Yes. Sarah needed to tell her client that he would have to read through the prospectus to ensure he
understood all aspects of the investment before she could take any money from him.
D) Yes. Sarah is not permitted to accept funds from a client without the presence of her immediate
supervisor.

4. Which of the following activities are prohibited by FINRA when a representative is selling shares of a
mutual fund?
I. recommending that a client purchase shares of a mutual fund prior to its ex-dividend date, so that the
client will receive the dividends when they are distributed unless this recommendation is justified by the
specific circumstances of the client
II. telling a client that a mutual fund that has only a contingent deferred sales charge is a no load fund
III. telling a client that the interest he earns on a municipal bond fund will be free from federal taxation
IV. refraining from placing the customer's order promptly in order to profit himself as a result of having
done so

A) I and III only
B) I, II, and IV only
C) I, II, III, and IV
D) II and IV only

5. MBIA, Inc., a municipal bond insuring company, has a bond issue that is selling for $80.05 to yield 9.5%.
The bond has a coupon rate of 7%, with semiannual payments, and matures in 2025.If interest rates in
the economy increase, which of the following statements will be true, all else equal?
I. the nominal yield of the bond will increase.
II. the yield-to-maturity of the bond will increase.
III. the current yield of the bond will increase.

A) I only
B) II and III only
C) I and II only
D) I, II, and III

問題與答案：