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最新的 FINRA Certification Series6 免費考試真題:

1. 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 proportionate
ownership of the fund. Which of the following statements is true regarding the tax consequences of this
distribution to Tex?

A) 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.
B) Tex will have to pay tax on the distribution at the tax rate for long-term capital gains, which are currently
taxed preferentially.
C) 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.
D) 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. Jack is an investment adviser representative employed by Giant Investments, a family of mutual funds.
Jack has recently read an article posted on the web that he thinks explains some consequences of some
tax law changes that are being considered extremely well, and he e-mails his existing retail customers
with a summary of the salient facts of the article. Given these facts:

A) Jack has violated FINRA rules if he did not first have a principal of Giant approve his e-mail prior to
hitting the send button.
B) a copy of the e-mail must be submitted to FINRA within 10 days of Jack's hitting the send button.
C) Both A and C are true statements regarding this situation.
D) Jack must submit a copy of the e-mail to a principal of the company, but he did not need to do so prior
to sending the e-mail.

3. Joel has a 28-year-old client who has been promoted to the elevated position of senior software engineer
with a large, well-known, software company at her relatively young age. She has come to Joel for
investment advice, explaining to him that she is risk-averse, having been influenced by parents who grew
up in a foreign country and had little, prior to immigrating to America and working hard to achieve their
dreams for themselves and their children. She has $50,000 that she wants him to invest for her, and her
primary goal is to be able to have enough
money, beyond what she expects to have in her employer's retirement program, to return to her home
country and help others achieve their dreams. Joel explains to her that she may have to invest in riskier
securities in order to achieve her goal, but his client is adamant that she wants her portfolio to be invested
to target growth with the least risk exposure possible. Given the facts:

A) Joel should invest his client's monies in a fund that specializes in stocks of his client's home country to
avoid the exchange rate risk that she will be exposed to when she returns.
B) Joel should invest his client's monies in a growth fund to target her growth objective.
C) Joel should divide his client's monies among growth, aggressive growth, and foreign stock funds.
Regardless of what she says, she has a long investment horizon and can afford to take on more risk.
D) Joel should invest his client's monies in a U.S. government bond fund since she is risk-averse.

4. Which of the following is not one of the rules stipulated by the Securities Exchange Act of 1934?

A) Firms are required to send copies of their annual reports to investors before an annual meeting at
which directors are to be elected.
B) All securities' exchanges and SROs are required to register with the SEC.
C) Investment companies are prohibited from using any sales literature that contains an omission of a
material fact.
D) All brokers and dealers are required to be members of a national securities association.

5. HiTop Investments main office is located in the state of Colorado. A registered representative of the firm
sent out an e-mail to his clients, some of whom reside in other states, promoting the firm's Colorado
Municipal Bond Fund, which invests exclusively in bonds offered by the state and local governments of
Colorado. In the e-mail, the representative states, "These bonds provide income that is free from both
federal and state taxes and may also be free from local taxation, if any exists." Is this e-mail in violation of
any securities' laws?

A) Yes. Advertisements referring to a specific fund may not be distributed by electronic means.
B) No. Since the fund invests exclusively in bonds offered by the state and local governments of Colorado,
the representative's statement contains no misstatement of fact.
C) Yes. A fund that invests only in bonds offered by state and local governments of one state may not be
sold to investors who reside in other states.
D) Yes. The representative's statement that the "bonds provide income that is free from both federal and
state taxes and may also be free from local taxation, if any exists," is untrue.

問題與答案：

問題 #1 答案： B

問題 #2 答案： D

問題 #3 答案： B

問題 #4 答案： C

問題 #5 答案： D