Series 6 Practice Questions

Welcome to your Series 6 Practice Exam

1) Investors with _____________ objective want investments that will appreciate in value.
2) A company pays $2.50 dividend . What is the annual dividend?
3) Cities cannot issue bonds.
4) Correspondence communication addresses 25 or less investors while retail communication is for more than 25 retail investors.
5) Government Treasury Notes (T-notes) pay interest every _________
6) 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?
7) _______________are the only agency security backed in full by the U.S. government.
8) 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.
9) American depository receipts are commonly used to facilitate US investors investing in _______________.
10) 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?
11) To maintain your Series 6 license you must complete continuing education. The continuing education consists of a _______ element and ______ element.
12) If a transaction or total of multiple transactions exceed _________ per ________, a currency transaction report must be filed with the Treasury Department’s Financial Crimes Enforcement Network (FinCEN.)
13) _____________stocks are shares that a corporation is permitted to issue.

The uniform securities act provides three methods of registration for public offerings of securities: Notice filing, registration by qualification, & _______________________

15) Outstanding stocks do not have voting rights and the right to receive dividends.
16) Preemptive Rights allow shareholders to maintain their current percentage of ownership in a stock.
17) A mutual fund has a net asset value or NAV of $15 and a public offering price or pop of $19. What is the sale charge percentage of the fund?
18) Under the investment company act of 1940, to be considered a diversified company you must meet the _____________ requirement.
19) If the yield to maturity rate is less than the original rate of the bond, the bond is at premium.
20) What are the four phases of the business cycle?

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