Free FINRA Series-6 Exam Questions
Absolute Free Series-6 Exam Practice for Comprehensive Preparation
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FINRA Series-6 Exam Questions
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Provided By: FINRA
- Exam: Investment Company and Variable Contracts Products Representative
- Certification: FINRA Representative-level
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Total Questions: 328
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Updated On: Nov 25, 2025
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Rated: 4.9 |
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Online Users: 656
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Question 1
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Which of the following must be true for a fund to be called a “no load” fund? I. The fund can have no front-end load. II. The fund can have no contingent deferred sales charge. III. The fund can charge no 12b-1 fees. IV. The fund cannot charge investors an exchange fee.
Answer: A
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Which of the following must be true for a fund to be called a “no load” fund? I. The fund can have no front-end load. II. The fund can have no contingent deferred sales charge. III. The fund can charge no 12b-1 fees. IV. The fund cannot charge investors an exchange fee.
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Question 2
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Which of the following would not have to register as an investment adviser or an investment adviser representative under the Investment Advisers Act of 1940? I. an insurance agent who sells only whole life and term life policies II. a commodity futures broker III. a bank employee who sells the bank’s customers only CDs and other bank securities that are FDIC-insured IV. a person that is registered as a broker-dealer with the SEC that also provides investment advice to its customers for additional compensation
Answer: B
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Which of the following would not have to register as an investment adviser or an investment adviser representative under the Investment Advisers Act of 1940? I. an insurance agent who sells only whole life and term life policies II. a commodity futures broker III. a bank employee who sells the bank’s customers only CDs and other bank securities that are FDIC-insured IV. a person that is registered as a broker-dealer with the SEC that also provides investment advice to its customers for additional compensation
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Question 3
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Ms. Mix always assures her clients that she will be calling them with quarterly recommendations for rebalancing their portfolios if there are any changes that she feels are appropriate. This has worked out well for her pocketbook since she has always been able to tweak each of her clients’ investment portfolios a little each quarter by recommending that they redeem their shares in one fund that hasn’t performed as well in the last quarter and use the proceeds to invest in another that has. Her clients feel cared for since she is in such regular contact with them. Is Ms. Mix violating any securities regulations with this policy of hers?
Answer: B
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Question 4
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Which of the following steps in the underwriting process will occur last?
Answer: C
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Which of the following steps in the underwriting process will occur last?
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Question 5
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Which of the following is not a potential advantage associated with investing through a mutual fund?
Answer: C
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Which of the following is not a potential advantage associated with investing through a mutual fund?