Free Series 6 Exam Braindumps (page: 39)

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Which of the following is not a feature associated with an investment in preferred stock?

  1. The dividend is typically a fixed amount.
  2. If a dividend payment is skipped, it must typically be made up before common shareholders can receive any dividends.
  3. Preferred shareholders usually have the right to vote on members of the board of directors, mergers, and shareholder proposals.
  4. The preferred stock may be convertible to common stock.

Answer(s): C

Explanation:

Choice C describes a feature that is not associated with an investment in preferred stock. Preferred shareholders usually have no voting rights whatsoever. Preferred stock usually pays a fixed dividend and is usually cumulative, which means that missed dividends must be made up before common shareholders can receive any dividends. Preferred stock sometimes has a convertible feature, which allows the preferred stockholders to convert their shares to common stock.



ion No: 308
Ms. Newbie, a newly-minted registered representative with Savvy Investments, just had her first client walk through the door. The new account form that the client receives a copy of must contain the signatures of:

I). the client.
II). Ms. Newbie.
III). Ms. Newbie's branch manager/supervisor.

  1. I only
  2. I and II only
  3. II and III only
  4. I, II, and III

Answer(s): C

Explanation:

The new account form that Ms. Newbie's client will receive must contain the signatures of both Ms. Newbie and her branch manager/supervisor. The signature of the client is not a requirement.



Tex Payor bought shares of the Stocks4U Mutual Fund on February 26th. During the year, the fund sold some of the stocks in which it was invested, generating long-term capital gain income for the fund. Tex received a distribution of some of these gains at the end of the year, based on his proportio nate ownership of the fund.
Which of the following statements is true regarding the tax consequences of this distribution to Tex?

  1. Tex will have to pay tax on the distribution at his marginal tax rate. Since Tex had not been invested in the fund for over 12 months when the distribution occurred, it is considered to be short -term capital gain income for him, which is taxed as ordinary income.
  2. Tex will have to pay tax on the distribution unless he opts to reinvest the distribution in the fund, in which case the income will not be taxable.
  3. Tex will have to pay tax on the distribution at the tax rate for long-term capital gains, which are currently taxed preferentially.
  4. There are no tax consequences to Tex. Mutual fund investors are taxed only on dividend distributions and on capital gains realized when they sell shares of a fund that they own. Capital gains earned by the fund when securities are bought and sold by the fund's manager are taxed to the fund.

Answer(s): C

Explanation:

When Tex receives distributions of long-term capital gain income earned by a fund that he bought on February 26th, he will have to pay tax on the distribution at the tax rate for long - term capital gains, which are currently taxed preferentially. The amount of time the fund held the securities prior to selling them determines whether the capital gain distribution will be considered long -term or short-term, not the amount of time the investor has owned shares of the fund. All distributions-both dividends and capital gains-are taxable at the shareholder level, not at the fund level.



Which of the following bonds will experience the greatest percentage change in price for a given change in interest rates?

  1. a bond with 5 years to maturity that pays a 5% coupon
  2. a bond with 10 years to maturity that pays a 5% coupon
  3. a bond with 5 years to maturity that pays a 7% coupon
  4. a bond with 10 years to maturity that pays a 7% coupon

Answer(s): B

Explanation:

The bond that will experience the greatest percentage change in price for a given change in interest rates is the bond with 10 years to maturity that pays a 5% coupon. Bonds with longer durations experience greater changes in price, and the long maturity, low coupon bonds have longer durations.



Page 39 of 83



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