Series 6 Practice Questions

Welcome to your Series 6 Practice Exam

1) A company pays $2.50 dividend . What is the annual dividend?
2) What is the current yield of a bond selling at $500 and paying an annual interest of $60?
3) American depository receipts are commonly used to facilitate US investors investing in _______________.
4) What is the Semi-annual payment of a bond with a 5% nominal yield?
5) The __________________represent the rate of return anticipated on a bond if it is held until the maturity date and all payments are made as scheduled.
6) _____________are exempt from federal taxes.
7) The _________, adopted by the SEC makes it the responsibility of the firm to safeguard customer’s information they collect from unauthorized access.
8) Government Treasury Notes (T-notes) pay interest every _________
9) When the sale charge is applied at the time of purchase, this type of mutual fund is referred as a _________________.
10) Under FINRA rule, a gift of any kind cannot exceed _______ per person per year.
11) What are the four phases of the business cycle?
12) Outstanding stocks do not have voting rights and the right to receive dividends.
13) The securities exchange act of 1934 regulates new securities in the primary market.
14) If you buy a stock for $50 and for a year it pays you an annual dividend of $12, after that you sell the stock for $65, what is your return on investment ROI?
15) A shareholder invested in a mutual fund with a letter of intent to invest $25,000. His original investment was $5,000 and after two months the account value  appreciated to $8000. For him to complete the letter of intent, how much money  must he deposit in the account?
16) Issuers of a revenue bond must have taxing authority.
17) What is the formula to calculate dividend yield of a stock?
18) There are 3 categories of investment companies (Face amount certificate company, Management investment company & __________________)
19) An investment company is required to register with the SEC as an investment company if ________ or more of its assets are invested in securities.
20) The maximum sale charge in a mutual fund is_____

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