Series6 試験問題を無料オンラインアクセス

Which of the following statements about hedge funds is true?

• A.They have low management fees, like index funds.
• B.They are not regulated by the Investment Company Act of 1940.
• C.They are fairly low risk since the portfolio managers use investment strategies designed to "hedge their
  bets."
• D.They are considered to be very liquid investments.

Ms. Scatty is a registered representative with a well-known family of mutual funds. When selling one of
the funds, she forgets to give her buyer a prospectus. Which of the following statements is true?

• A.Ms. Scatty can be held civilly liable under the Securities Act of 1933.
• B.Ms. Scatty can be held criminally liable under the Securities Act of 1933.
• C.Both A and B are true statements.
• D.Since mutual funds are not covered under the Securities Act of 1933, there is no liability in this
  instance.

Which of the following entities is eligible to establish a Keogh Plan?

• A.Both A and C are eligible to establish a Keogh Plan.
• B.Mr. Will Writer teaches English at a community college and does freelance writing to supplement his
  income.
• C.Mr. Hans Deutsch is the owner of a Subchapter S Corporation that imports only Bavarian-made goods.
• D.Ms. Dee Ziner is the owner of an interior design company that is established as a sole proprietorship.

Mr. Shortfall placed a market order to buy 100 shares of Google (GOOG) with GetErDone Broker-Dealers.
The market order was executed at $530 a share. In accordance with Regulation T:

• A.GetErDone can request an extension from FINRA or another SRO for Mr. Shortfall if he is unable to
  pay for the shares within 5 business days.
• B.Both B and C are true statements.
• C.Mr. Shortfall must pay for the purchased shares within 3 business days.
• D.Mr. Shortfall must pay for the purchased shares within 5 business days.

Which of the following statements about the over-the-counter market is true?

• A.Stocks that are listed on exchange floors are also traded in the over-the-counter market.
• B.Only bonds and other debt instruments are traded in the over-the-counter market.
• C.Trades in the over-the-counter market are conducted via the auction process.
• D.Only penny stocks are traded in the over-the-counter market.