Practice Tests For IT & Nursing
Question # 66

Which of the following transactions would settle T+1?

Options:

A.

Corporate bond trade

B.

Municipal bond trade

C.

Mutual fund purchase

D.

Treasury bill purchase

Question # 67

An investor is primarily concerned about purchasing power risk. Which product best addresses this?

Options:

A.

Treasury bills

B.

Treasury Inflation-Protected Securities (TIPS)

C.

Fixed annuity

D.

Certificate of deposit

Question # 68

Which disclosure must appear in a mutual fund retail advertisement?

Options:

A.

NAV is guaranteed

B.

Past performance does not guarantee future results

C.

FINRA endorses the fund

D.

All risks are eliminated through diversification

Question # 69

Which of the following is considered correspondence under FINRA rules?

Options:

A.

Email to 15 retail customers in 30 days

B.

A website advertisement

C.

A newsletter sent to 40 retail clients

D.

A presentation to institutional investors

Viewing question 14 out of 14 questions


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Name Series 6 License
Code Series 6 License
Vendor Finance, Insurance and Real Est
Certification Financial Industry Regulatory Authority (FINRA)

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