Free Series 6 Exam Braindumps (page: 46)

Page 46 of 83

The stock of Nutrisystem, Inc. (NTRI) is selling for $17.70 when Miss Piggy places a limit order to buy the stock at $17.65. During the period the order is open, NTRI falls to $17.60 and then increases to $17.67.
Which of the following statements is most likely to be true in this scenario?

  1. Miss Piggy bought NTRI at $17.67 a share.
  2. Miss Piggy bought the stock for no more than $17.65 a share.
  3. Miss Piggy bought the stock for no more than $17.60 a share.
  4. Miss Piggy bought the stock for $17.66 a share.

Answer(s): B

Explanation:

If Miss Piggy placed an order to buy the stock of Nutrisystem (NTRI) at $17.65, the statement most likely to be true is that she bought the stock for no more than $17.65. A limit order specifies the maximum price she's willing to pay, and her order would not be executed at any price higher than $17.65. It is possible, but highly unlikely, that her order would be executed for as low as $17.60 a share.



MBIA, Inc., a municipal bond insuring company, has a bond issue that is selling for $80.05 to yield 9.5%. The bond has a coupon rate of 7%, with semiannual payments, and matures in 2025.If interest rates in the economy increase, which of the following statements will be true, all else equal?

I). the nominal yield of the bond will increase.
II). the yield-to-maturity of the bond will increase.
III). the current yield of the bond will increase.

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

Answer(s): C

Explanation:

Only statements II and III are true. If interest rates in the economy increase, both the bond's yield-to-maturity and its current yield will increase. The bond's yield-to-maturity will increase to reflect current market rates on similar risk investments, and this, in turn, causes the price of the bond to fall. The current yield of the bond is the interest payment divided by the bond price. Since the interest payment does not change with interest, the current yield will increase with the decrease in the bond price. The nominal yield of the bond is the same as its coupon rate, or what it yields when it sells at its par value, and does not change with changes in interest rates in the economy.



Ari Gaunt was affiliated with Savvy Investments and was terminated after some of the female representatives associated with Savvy filed sexual harassment complaints against him. Mr. Gaunt believes that he is still due money for some transactions he executed prior to his termination; Savvy believes otherwise. Under FINRA's Code of Arbitration:

  1. Ari may either sue Savvy in a civil court of law or submit his claim to arbitration. If Ari submits his claim for arbitration and is unhappy with the panel's decision, he can then sue Savvy in a civil court of law.
  2. Ari has six years to submit his claim to arbitration.
  3. both B and C are true statements.

Answer(s): C

Explanation:

If Mr. Gaunt believes he is still due money from Savvy, and Savvy disagrees, Ari has six years to submit his claim to arbitration under FINRA's Code of Arbitration. Ari cannot sue Savvy in a court of law, and the decision of the arbitration panel is final.



An ADR is:

  1. a bond issued by an American firm that is denominated in dollars, but is sold to foreign investors.
  2. a receipt designating ownership of shares of a foreign stock that are held in a trust.
  3. another name for bankers' acceptances.
  4. a certificate of deposit offered by a foreign bank that is denominated in U.S. dollars.

Answer(s): B

Explanation:

An ADR is a receipt designating ownership of shares of a foreign stock that are held in a trust. The acronym stands for American Depository Receipt.



Page 46 of 83



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