Free FINRA Series-6 Exam Questions
Absolute Free Series-6 Exam Practice for Comprehensive Preparation
-
FINRA Series-6 Exam Questions
-
Provided By: FINRA
- Exam: Investment Company and Variable Contracts Products Representative
- Certification: FINRA Representative-level
-
Total Questions: 328
-
Updated On: May 12, 2025
-
Rated: 4.9 |
-
Online Users: 656
-
Question 1
-
Which of the following steps in the underwriting process will occur last?
Answer: C
-
Which of the following steps in the underwriting process will occur last?
-
Question 2
-
A retirement plan under which the benefit to be paid upon retirement is specified when an employee is signed up for the plan is known as a:
Answer: C
-
A retirement plan under which the benefit to be paid upon retirement is specified when an employee is signed up for the plan is known as a:
-
Question 3
-
In order for the Invest4U Mutual Fund to qualify as a regulated investment company under Internal Revenue Code Subchapter M, it must:
Answer: D
-
In order for the Invest4U Mutual Fund to qualify as a regulated investment company under Internal Revenue Code Subchapter M, it must:
-
Question 4
-
Dottie is a newly-minted, registered representative and is doing some cold calling to line up appointments with prospects. When doing so, Dottie: I. must not call anyone on her firm’s do-not-call list. II. must not call anyone on the FTC’s national do-not-call-list. III. must not call anyone before 7 a.m. or after 7 p.m., based on the time zone of the person being called. IV. must provide the person called with her name, the name and contact information of her firm, and the purpose of her call.
Answer: C
-
Dottie is a newly-minted, registered representative and is doing some cold calling to line up appointments with prospects. When doing so, Dottie: I. must not call anyone on her firm’s do-not-call list. II. must not call anyone on the FTC’s national do-not-call-list. III. must not call anyone before 7 a.m. or after 7 p.m., based on the time zone of the person being called. IV. must provide the person called with her name, the name and contact information of her firm, and the purpose of her call.
-
Question 5
-
Which of the following investment companies will always be passively managed?
Answer: B
-
Which of the following investment companies will always be passively managed?