EXAM CODE : Series-6 UPDATION DATE : 2023-03-30 TOTAL QUESTIONS : 325 UPDATES : UPTO 3 MONTHS GUARANTEE : 100% PASSING GUARANTEE
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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
