Free Series 6 Exam Braindumps (page: 12)

Page 12 of 83

When a mutual fund is valuing your pre-existing holdings to see if you qualify for a reduced
sales charge under its rights of accumulation program, it must use:

  1. the current NAV of your holdings.
  2. the current public offering price (POP) of your holdings.
  3. the price you paid when you purchased the shares originally.
  4. none of the above.

Answer(s): D

Explanation:

When a mutual fund is valuing your pre-existing holdings to see if you qualify for a reduced sales charge under its rights of accumulation program, it is not required to use any specific one of the specified choices. It is allowed to choose from among them. Some funds even allow you to use the higher of either the current NAV or POP or the historical NAV or POP, since the historical value might be higher than the current value in a down market.



Which of the following securities laws regulates the organizational structure and day-to-day operations of investment companies?

  1. The Securities Act of 1933
  2. The Securities Exchange Act of 1934
  3. The Investment Company Act of 1940
  4. The Investment Advisers Act of 1940

Answer(s): C

Explanation:

The Investment Company Act of 1940 regulates the organizational structure and day-to- day operations of investment companies. The Act includes requirements regarding a fund's capital structure, the custody of its assets, its investment activities, and the duties of a fund's board of directors, among other things. The Securities Act of 1933 regulates the offering of a fund's shares and requires that prospective investors be provided with a prospectus. The Securities Exchange Act of 1934 regulates secondary market activities in investment company shares and includes laws governing the principal underwriters and brokers and dealers who sell investment company shares. The Investment Advisers Act of
1940 regulates investment advisers and includes laws pertaining to their registration and recordkeeping, custodial, and reporting responsibilities.



Jack purchased a new bond of the Candlestick Corporation for its face value of $1,000. The bond has a coupon rate of 3.5%, makes semiannual interest payments, and matures in fifteen years. A year after purchasing the bond, Jack needs to sell the bond to offset some major expenses he incurred when his home caught on fire. Interest rates in the economy at this time have fallen to 3.0%.
Given this scenario, when Jack sells the bond, he can expect to receive which of the following?

  1. more than what he originally paid for the bond.
  2. less than what he originally paid for the bond.
  3. exactly what he paid for the bond.
  4. $965, which is what he paid for the bond less the $35 in interest he received during his year of owning the bond.

Answer(s): A

Explanation:

Since interest rates in the economy have decreased, Jack can expect to receive more than what he originally paid for the bond. Bond prices move inversely with interest rate changes, all else equal.



Which of the following investment companies will always be passively managed?

  1. a face-amount certificate company
  2. a unit investment trust
  3. a mutual fund
  4. a closed-end investment company

Answer(s): B

Explanation:

A unit investment trust is always passively managed. Some mutual funds, such as index funds, may also be passively managed, but not all mutual funds are passively managed.



Page 12 of 83



Post your Comments and Discuss FINRA Series 6 exam with other Community members:

asl commented on September 14, 2023
all are relatable questions
CANADA
upvote

Av dey commented on August 16, 2023
can you please upload the dumps for 1z0-1096-23 for oracle
INDIA
upvote

myyadav commented on September 26, 2023
ALL ARE RELATABLE QUESTIONS. all in in exam paper
Anonymous
upvote

asl commented on September 14, 2023
ALL ARE RELATABLE QUESTIONS
CANADA
upvote

azmera abebe commented on August 25, 2023
it is a good questions ,so go on head
Anonymous
upvote

Av dey commented on August 16, 2023
Can you please upload the dumps for 1z0-1096-23 for oracle
INDIA
upvote