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：2025-07-07

問題と解答：全325問

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質問 1：
A bond has a face value of $1,000, matures in 12 years, and pays an 4% coupon, with interest paid
semiannually. If the bond is priced to yield 3.5%, it is selling:
A. at a discount.
B. at a premium.
C. at its maturity value.
D. at par.
正解：B
解説: (Topexam メンバーにのみ表示されます)

質問 2：
Tex Payor purchased his shares of Invest4U Mutual Fund 30 days prior to its ex-dividend date. In order
for any dividends he receives from the fund to be qualified, Tex cannot sell his shares until:
A. twelve months after the settlement date of his purchase.
B. thirty-one days after the fund's ex-dividend date.
C. six months after the settlement date of his purchase.
D. one day after the fund's ex-dividend date.
正解：B
解説: (Topexam メンバーにのみ表示されます)

質問 3：
Rank the following entities with regard to the priority of their claims on a firm-from the highest priority to
the lowest priority-in the event of bankruptcy.
I. common shareholders
II. preferred shareholders
III. secured bondholders
IV. debenture holders
A. II, III, I, IV
B. III, II, IV, I
C. IV, III, II, I
D. III, IV, II, I
正解：D
解説: (Topexam メンバーにのみ表示されます)

質問 4：
Which of the following would not be a characteristic associated with stocks in which a growth fund might
invest?
A. high price-earnings (P/E) ratio
B. high earnings growth
C. high cash dividends
D. beta > 1.0
正解：C
解説: (Topexam メンバーにのみ表示されます)

質問 5：
Asset allocation involves:
A. determining the specific stocks and bonds in which your client should invest his funds.
B. selecting the investments that are expected to offer the highest return over your client's investment
horizon.
C. determining the percentages that your client should be investing in various types of investments (e.g.,
stocks, bonds) based on his investment objectives.
D. selecting the investments that will expose your client to the least amount of risk.
正解：C
解説: (Topexam メンバーにのみ表示されます)

質問 6：
A fund's transfer agent is responsible for:
I. calculating and distributing the capital gain and dividend income of the fund.
II. mailing shareholder account statements.
III. paying fund expenses.
A. I and II only
B. II only
C. I only
D. I, II, and III
正解：A
解説: (Topexam メンバーにのみ表示されます)

質問 7：
A feature that gives a bondholder or the owner of preferred stock of a corporation the option to exchange
his security for shares of the common stock of the firm is called a:
A. convertible feature.
B. right.
C. call feature.
D. warrant.
正解：A
解説: (Topexam メンバーにのみ表示されます)

質問 8：
As her college graduation present, Jennifer's grandmother gave her 200 shares of the stock of IBM. Her
grandmother had purchased the shares for $54 a share in October 2002, and the stock was selling for
$ 132 a share on the day of Jennifer's graduation eight years later. Eight months after her graduation,
Jennifer decides to sell the shares to get money to help with the down payment on a condo she is
purchasing. If IBM is selling for $125 on the day of the sale, what are the tax consequences of this sale for
Jennifer?
A. Jennifer will have a loss of $1,400, which will be treated as a short-term capital loss for tax purposes.
B. Jennifer will have taxable income of $15,600, which will be taxed as long-term capital gain income at a
tax-preferred rate.
C. Jennifer will have taxable income of $14,200, which will be taxed as long-term capital gain income at a
tax-preferred rate.
D. Jennifer will have taxable income of $14,200, which will be taxed as long-term capital gain income at a
tax-preferred rate.
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. 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.

2. On Friday, August 6th, the Board of Directors of Ecolab (ECI) announced that it would pay a dividend of
$ 0.155 a share to shareholders of record as of Tuesday, September 21st.The dividend checks were
scheduled to be mailed on Friday, October 15th. In this scenario, the payment date is:

A) none of the above.
B) Friday, August 6th.
C) Tuesday, September 21st.
D) Friday, September 17th.

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

A) any cash transaction exceeding $10,000.
B) any transaction exceeding $10,000 in value.
C) any cash transaction exceeding $3,000.
D) any transaction exceeding $5,000.

4. Andy and Annie Raggedy own their own graphics art business that they operate out of their home and,
happily, generate enough income to meet their current needs. The couple is planning on having children
in the not too distant future, however, and they want to start putting money aside for their children's
college education and also want to start saving for retirement more aggressively. Which of the following
describes one of their primary investment objectives?

A) preservation of capital
B) tax-exempt income
C) current income
D) capital appreciation

5. GoForBroke Broker-Dealers has distributed a list of ten mutual funds that it suggests are top-notch funds
worthy of recommendation by GoForBroke's agents. Coincidentally, all the funds on this list also happen
to be those that execute the majority of their trades through GoForBroke. Is GoForBroke in violation of
any FINRA rules?

A) No. As long as the list consists of more than five funds, GoForBroke has not violated any FINRA rules.
B) Yes. GoForBroke is prohibited from selling shares of mutual funds that execute their trades through the
broker-dealer. This rule is in place to avoid conflicts of interest.
C) Yes. By distributing a list naming specific funds that coincidentally all happen to execute a lot of trades
through GoForBroke, the broker-dealer is violating FINRA's anti-reciprocal rule.
D) No. GoForBroke only distributed a list of fund names; it did not offer its agents any form of additional
compensation for selling the funds on that list.

質問と回答：

質問 # 1
正解： C

質問 # 2
正解： A

質問 # 3
正解： A

質問 # 4
正解： D

質問 # 5
正解： C