Series-6 exam has grabbed the interest of IT students with its rising need and importance in the field. In spite of being a hard core IT exam, it can easily be passed with the help of Series-6 dumps material.This highly demanded and results-producing authentic dumps material can be obtained from Exam4help.com. When you will prepare under the guidance of veterans by using additional facilitating services, your certification is stamped with success.
As a favor to our students, we have availed free of cost demo version for quick quality check before going forward. You get here trust, find satisfaction and meet your success with expertly verified Series-6 questions answer. You can download PDF study guide right now at very cheap and attractive price and pursue your career with fast pace. Further, it is the place where you get money back guarantee in case of, though not expected, unfortunate happening and you fail to get your desired result in your final exam. In short, you are promised for definite success with student-friendly preparatory solutions. Just join our hands and leap for your successful career.
Callie has a new client who wants to begin investing in mutual funds with the $5,000 she has pulled out of her savings account. The client has indicated she wants to set this money aside in a separate account so that her baby girl, now 2 years old, can have the “wedding of her dreams” when she grows up. Based on the information the client has provided, Callie believes the client would benefit most by purchasing shares of a certain fund that offers Class A, Class B, and Class C shares. Given these facts, Callie’s client is probably best off purchasing the shares of which class?
A. Class A
B. Class B
C. Class C
D. None of that above. Based on the facts, Callie’s client would be better off buying a Treasury STRIP that matures in 20 to 30 years.
ANSWER : B
Tex Payor is an investor in the Invest4U Mutual Fund. The manager of the fund, fearing a substantial decline in the stock market, sold a lot of the fund’s holdings to lock in profits. As a result, the fund earned a lot of long-term capital gain income. Which of the following statements is true regarding the tax treatment of this income?
A. Tex must pay taxes on that portion of the long-term capital gain income that Invest4U
distributes to him.
B. Tex must pay taxes on his proportionate share of the long-term capital gain income earned by Invest4U, whether distributed or not.
C. Tex must pay taxes only on dividend income distributed by Invest4U.The mutual fund itself pays tax on any capital gains it earns.
D. None of the above is a true statement.
ANSWER : A
The Securities Exchange Act of 1934: I. regulates the market for new issues. II. delineates the registration requirements for investment advisers. III. regulates secondary market activities. IV. requires that officers and some other employees of member firms submit their fingerprints to the U.S. attorney general’s office.
A. I and II only
B. II and III only
C. III and IV only
D. I, II, III, and IV
ANSWER : C
By investing in a diversified portfolio, an investor will:
A. lower both his risk and his expected return.
B. lower his risk without affecting his expected return.
C. lower his risk and increase his expected return.
D. eliminate all the market risk associated with his investment portfolio.
ANSWER : B
A broker-dealer is required to file a Currency Transaction Report with the Treasury Department for:
A. any transaction exceeding $10,000 in value.
B. any cash transaction exceeding $10,000.
C. any cash transaction exceeding $3,000.
D. any transaction exceeding $5,000.
ANSWER : B