Which of the following is true regarding an error on an order ticket?

The correction must always be approved by a manager

It must be corrected before the order is executed

The correction must always be approved by a manager

The correction must be approved by a manager unless the error is obvious and trivial, such as a misspelling of the customer's name

It cannot be corrected; rather, a new ticket with the correct information must be created

Which of the following products is most appropriate for an IRA if the prospect is a conservative 50-year old investor?

Municipal bond fund consisting of revenue backed bonds

Jasmine is about to enter retirement with $500,000 in savings. She is worried about protecting her purchasing power but needs steady income to help pay her monthly expenses. Which is a suitable investment portfolio?

A fixed income annuity and a balanced fund

Municipal bonds and a fixed income annuity

A fixed income annuity and a balanced fund

There are basically four things you can do with a short-term capital loss. Which of the following is the order in which you would typically do them?

Offset a short-term capital gain, offset a long-term capital gain, deduct up to $3,000 from income, carry over for a future year

Offset a long-term capital gain, offset a short-term capital gain, deduct up to $3,000 from income, carry over for a future year

Deduct up to $3,000 from income, offset a short-term capital gain, offset a long-term capital gain, carry over for a future year

Deduct up to $3,000 from income, carry over for a future year, offset a long-term capital gain, offset a short-term capital gain

Which of the following is one of the ERISA requirements that most types of employer-sponsored retirement plans must meet in order to be tax-qualified?

Plan assets must be in a separate trust to protect them from the employer's creditors

Employees cannot be excluded on the basis of age or number of hours worked

Participants must be able to sign up for online access to see the status of their accounts

If the employer is a FINRA member, none of its representatives may advise the plan or any other participant

When one of your customers dies, you must do all of the following immediately, except:

Transfer any assets to an estate account

Cease honoring any powers of attorney granting trading authority to any third party (including yourself)

Stan buys IPO shares on the secondary market. If the IPO commenced one week ago, when must Stan be provided with a copy of the final prospectus?

At the time of trade confirmation

Within two days of trade confirmation

The day before trade confirmation

Stan is not entitled to a final prospectus because he did not purchase the shares from the issuer.

Series 6 Sample Quiz

FINRA Investment Company Products/Variable Life Contracts Representative Exam

Number of Questions	10
Time Duration	Untimed
Answer Feedback Instant validation and rationale
Percentage required to pass	70%

Start Test

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