Series6の無料問題集（325題）、Series6認定試験参考書

FINRA Series6 問題集

試験コード：Series6

試験名称：Investment Company and Variable Contracts Products Representative Examination (IR)

最近更新時間：2024-11-18

問題と解答：全325問

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無料問題集Series6 資格取得

質問 1：
Phil Anthropy wrote his cousin a $15,000 check to pay for medical bills the cousin had accumulated. He
also distributed $5,000 checks to three nephews who were in college, and gave his mother a check for
$ 12,000. Have Phil's actions triggered any gift taxes?
A. Yes, $19,000 of his total distributions is subject to the gift tax.
B. Yes, $7,000 in distributions is subject to the gift tax.
C. Yes, $2,000 of his total distributions is subject to the gift tax.
D. No. None of Phil's distributions is subject to the gift tax.
正解：C
解説: (Topexam メンバーにのみ表示されます)

質問 2：
Which of the following relationships regarding shares of common stock are necessarily true?
I. shares outstanding > issued shares
II. authorized shares >= issued shares
III. issued shares = treasury shares
IV. issued shares >= shares outstanding
A. I and II only
B. I, II, and III only
C. II and IV only
D. II, III, and IV only
正解：C
解説: (Topexam メンバーにのみ表示されます)

質問 3：
On Monday, August 2nd, the Board of Directors of Baldor Electric (BEZ) announced that the firm would
pay a dividend of $0.17 a share. Payment will be made on Friday, October 8th to shareholders of record
as of Friday, September 17th.In order to receive this dividend check, an investor would have to purchase
shares of Baldor Electric before which day?
A. Monday, August 2nd.
B. Friday, October 8th.
C. Wednesday, September 15th.
D. Friday, September 17th.
正解：C
解説: (Topexam メンバーにのみ表示されます)

質問 4：
NASDAQ is:
A. the government organization that insures accounts at U.S. brokerage firms.
B. an acronym for Norway's major stock exchange.
C. a computerized system that links together the U.S. regional exchanges.
D. a computerized quotation system used in the over-the-counter market.
正解：D
解説: (Topexam メンバーにのみ表示されます)

質問 5：
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:
A. defined benefit plan.
B. SIMPLE-IRA.
C. defined contribution plan.
D. 401(k) plan.
正解：A
解説: (Topexam メンバーにのみ表示されます)

質問 6：
A bond issued by the Needy Corporation pays an 8% coupon, matures in ten years, and is selling for its
face value of $1,000.The yield-to-maturity on this bond is:
A. greater than its coupon rate of 8%.
B. indeterminable with the information provided.
C. equal to its coupon rate of 8%.
D. less than its coupon rate of 8%.
正解：C
解説: (Topexam メンバーにのみ表示されます)

質問 7：
Pete Prophet, the manager of a bond mutual fund, is expecting interest rates to increase. All else equal,
which of the following bonds would be the best investment under this assumption?
A. a bond with a 10% coupon and 5 years to maturity
B. a bond with a 5% coupon and 10 years to maturity
C. a zero-coupon corporate bond with 12 years to maturity
D. a Treasury strip with 15 years to maturity
正解：A
解説: (Topexam メンバーにのみ表示されます)

質問 8：
Nancy invested $1,850 in the MidFee Mutual Fund, which has a 4% front-end load. The net asset value
(NAV) per share of the fund at the time of her purchase was $22.20.How many shares of the fund was
Nancy able to purchase?
A. 83.33
B. None of the above is correct.
C. 80.13
D. 80.00
正解：D
解説: (Topexam メンバーにのみ表示されます)

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FINRA Investment Company and Variable Contracts Products Representative Examination (IR) 認定 Series6 試験問題:

1. Mr. Shortfall placed a market order to buy 100 shares of Google (GOOG) with GetErDone Broker-Dealers.
The market order was executed at $530 a share. In accordance with Regulation T:

A) Mr. Shortfall must pay for the purchased shares within 3 business days.
B) Mr. Shortfall must pay for the purchased shares within 5 business days.
C) Both B and C are true statements.
D) GetErDone can request an extension from FINRA or another SRO for Mr. Shortfall if he is unable to
pay for the shares within 5 business days.

2. Which of the following portfolios best represents a suitable asset allocation for a risk-averse investor?
I. Cash/money market fund: 20%; government bonds: 10%; investment-grade bonds: 15%; foreign stocks:
1 0%; blue-chip stocks: 25%; high-yield bonds: 10%; small cap stocks: 10%
II. Cash/money market fund: 30%; government bonds: 20%; investment-grade bonds: 15%; foreign stocks:
3 %; blue-chip stocks: 25%; high-yield bonds: 0%; small cap stocks: 7%
III. Cash/money market fund: 10%; government bonds: 5%; investment- grade bonds: 10%; foreign stocks:
1 5%; blue-chip stocks: 25%; high-yield bonds: 10%; small cap stocks: 25%

A) I
B) III
C) II
D) None of the above; a risk-averse investor should be entirely invested in government securities and/or
money market funds.

3. One difference between investing in a variable annuity and in a mutual fund is that:

A) the variable annuity guarantees a minimum rate of return on your investment.
B) Mutual fund investors have voting rights; owners of variable annuity contracts have no voting rights.
C) the fees and charges associated with investing in a mutual fund are much higher than those associated
with investing in a variable annuity contract.
D) the premiums invested in a variable annuity grow tax-deferred.

4. Under current tax law, in order for the profits from the sale of any investment to be considered long-term
capital gain income, the investment must have been held for:

A) longer than 6 months.
B) longer than 18 months.
C) longer than 12 months.
D) longer than 24 months.

5. Which of the following statements regarding the required distribution of income by a regulated investment
company are true?

A) Both short-term and long-term capital gains earned by the company can be distributed only once a
year.
B) Under current tax laws, qualifying dividends distributed to the company's investors are taxable to those
investors at a preferential rate-i.e., either 0% or 15%, depending on the investor's marginal tax rate.
C) Both A and B are true statements.
D) If an investor in the investment company has elected to reinvest his dividend and capital income in the
company rather than receiving a check, then the investor is not required to pay taxes on the reinvested
funds.

質問と回答：

質問 # 1
正解： C

質問 # 2
正解： C

質問 # 3
正解： D

質問 # 4
正解： C

質問 # 5
正解： B