최신 FINRA Certification Series6 무료샘플문제:
1. Jack purchased a new bond of the Candlestick Corporation for its face value of $1,000.The bond has a
coupon rate of 3.5%, makes semiannual interest payments, and matures in fifteen years. A year after
purchasing the bond, Jack needs to sell the bond to offset some major expenses he incurred when his
home caught on fire. Interest rates in the economy at this time have fallen to 3.0%.Given this scenario,
when Jack sells the bond, he can expect to receive which of the following?
A) more than what he originally paid for the bond.
B) less than what he originally paid for the bond.
C) exactly what he paid for the bond.
D) $965, which is what he paid for the bond less the $35 in interest he received during his year of owning
the bond.
2. Cliff places an order to sell 500 shares of the stock of Gap, Inc. (GPS) via his broker's website. Cliff does
not currently own any shares of GPS. This order is:
A) referred to as a short sale.
B) illegal, and the broker's website will reject it.
C) an example of a stop loss order.
D) indicating that Cliff expects the price of Gap, Inc. to rise.
3. The Slippery Fund is a high-yield bond fund, which means it invests a substantial amount of its money in:
A) bonds with an AAA rating.
B) investment-grade bonds.
C) junk bonds.
D) high-quality bonds.
4. Which of the following statements about primary market transactions is true?
A) In a primary market transaction, the issuer of the security receives the proceeds from the sale of the
security.
B) Both A and B are true statements.
C) A primary market transaction is defined as a transaction that is executed on either the NYSE or
NASDAQ. Transactions that take place on ECNs are secondary market transactions.
D) A primary market transaction refers to the trading of stocks; a secondary market transaction is defined
as a transaction that involves bonds.
5. Which of the following is not one of the rules stipulated by the Securities Exchange Act of 1934?
A) Investment companies are prohibited from using any sales literature that contains an omission of a
material fact.
B) All brokers and dealers are required to be members of a national securities association.
C) All securities' exchanges and SROs are required to register with the SEC.
D) Firms are required to send copies of their annual reports to investors before an annual meeting at
which directors are to be elected.
질문과 대답:
| 질문 # 1 정답: A | 질문 # 2 정답: A | 질문 # 3 정답: C | 질문 # 4 정답: A | 질문 # 5 정답: A |
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