Free Series 6 Exam Braindumps (page: 19)

Page 19 of 83

After a registration statement has been filed with the SEC, no offers to sell the security to the public can be made for:

  1. a minimum of 30 days unless the SEC grants an exception.
  2. a maximum of 20 days.
  3. a maximum of 30 days.
  4. a minimum of 20 days unless the SEC grants an exception.

Answer(s): D

Explanation:

After a registration statement has been filed with the SEC, no offers to sell the security to the public can be made for minimum of 20 days unless the SEC grants an exception and declares the registration statement effective sooner. The security cannot be offered for sale until the SEC has declared the registration statement effective, and should the SEC find that it requires more information from the issuer, it may be take longer than 20 days for it to declare the statement effective.



A broker-dealer is required to file a Currency Transaction Report with the Treasury Department for:

  1. any transaction exceeding $10,000 in value.
  2. any cash transaction exceeding $10,000.
  3. any cash transaction exceeding $3,000.
  4. any transaction exceeding $5,000.

Answer(s): B

Explanation:

A broker dealer is required to file a Currency Transaction Report with the Treasury Department for any cash transaction exceeding $10,000. The report does not need to be filed if the transaction simply has a market value of $10,000, but does not involve cash (aka, currency.)



Annie Vestor owns shares of the URMoney Mutual Fund. Annie lives on the west coast in Seattle, Washington. URMoney reported a net asset value per share of $10.10 on October 9th. On October 10th, its reported net asset value per share was $10.20. Upon arriving home at 12 P.M. (her time) on October 9th, Annie logged into the URMoney website and entered an order to redeem 500 shares of her holdings in the fund. This order will be transacted at:

  1. the net asset value of the fund at the end of the trading day on October 11th.
  2. $10.20
  3. $10.10
  4. The price at which this order will be transacted cannot be estimated based on the information provided.

Answer(s): C

Explanation:

If Annie, who lives on the west coast, enters an order to redeem 500 shares at 12 P.M. her time on October 9th, the order will be executed at the net asset value calculated at the end of that trading day, which is $10.10. Orders received prior to 4 P.M. Eastern Standard Time (EST) are required to be processed at the net asset value of the fund determined at the end of that some trading day, and 12 P.M. in Seattle is 3 P.M. on the east coast.



The entity through whom investors buy and redeem mutual fund shares is the fund's:

  1. custodian.
  2. transfer agent.
  3. principal underwriter.
  4. investment adviser.

Answer(s): C

Explanation:

The entity through whom investors buy and redeem mutual fund shares is the fund's principal underwriter. The fund's custodian is responsible for items such as accounting for the fund's assets and settling securities transactions; its transfer agent maintains records of the shareholders' accounts; and its investment adviser handles the purchase and sale of the securities within the fund.



Page 19 of 83



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Av dey commented on August 16, 2023
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