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FINRA Series6 試験シラバストピック:

FINRA Investment Company and Variable Contracts Products Representative Examination (IR) 認定 Series6 試験問題：

1. Which of the following statements regarding insider trading penalties is true?

A) Both A and C are true statements.
B) 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.
C) 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.
D) The SEC may seek both civil and criminal penalties against an individual who is found guilty of insider
trading.

2. Mr. A. D. Venturer owns 10,000 shares of Risky Corporation, which is currently selling for $8 a share. He
is leaving shortly for an extended trip to Antarctica and will be out of communication for that time. He
doesn't want to liquidate his investment in Risky before he goes, but he doesn't want to return to find that
his $80,000 investment is worth little to nothing. Which of the following options would make sense for Mr.
Venturer?

A) buy a call option on Risky stock with an $8 strike price and an expiration date that occurs after his
return
B) place a limit order to sell Risky at either $8 a share or a price slightly less than $8 a share
C) enter a good 'til cancelled (GTC) market order to sell Risky
D) place a stop sell order at a price less than $8 a share-perhaps $6 or $7 a share

3. Uncle Scrooge (uncharacteristically) wants to set up a Section 529 college savings plan for his nephew,
Louie. If he does so:

A) any withdrawals that Louie makes to cover tuition, books, and room and board will be free from both
federal and state taxes.
B) he can contribute at most $2,000 a year.
C) and Louie decides not to go to college, Uncle Scrooge can name Louie's brother, Huey, as the
beneficiary of the plan without any tax consequences.
D) his contributions will be tax deductible.

4. Under FINRA rules, the variable contract sales agreement must specify that any sales commission is to
be returned to the insurance company if the buyer terminates the contract within:

A) 7 business days.
B) 10 business days.
C) one week.
D) 5 business days.

5. Dr. Floss has just earned his dental degree and wants to establish a private dental practice. He has had a
bit of sticker shock at the price of all the equipment this will require him to purchase. Because he still has
a large student loan to repay, he has been unable to borrow any money from his financial institution. To
raise capital, he decides to sell fifty ownership interests of $1,000 each to interested investors and takes
out a full page ad in a local newspaper to advertise this investment. In this scenario:

A) Dr. Floss has violated the provisions of the Securities Act of 1933 and may face civil penalties.
B) Dr. Floss has not violated any laws since these ownership interests do not fall under the definition of a
security.
C) Dr. Floss has not violated any laws since the notes have a face value of only $1,000 and he is selling
them to a maximum of 50 different investors.
D) Dr. Floss can be charged with criminal fraud under the provisions of the Securities Exchange Act of
1 934.

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