Free FINRA Series6 Exam Dumps Questions & Answers

The profile of the Invesco Utilities Fund stipulates that 80% of its funds will normally be invested in stocks
of firms in utilities-related industries. This suggests that the Invesco Utilities Fund is:

• A.  a sector fund.
• B.  a non-diversified investment company.
• C.  an asset allocation fund.
• D.  both A and B.

When a client purchases a variable contract through you, he should be informed that his money will be
invested:

• A.  at the previous day's close price for the contract.
• B.  in a product with a guaranteed cash value.
• C.  at the next price that is computed after the contract application is accepted by the insurance company.
• D.  at the most recent price for which the contract sold.

An exchange-traded fund (ETF):

• A.  is a type of closed-end investment company.
• B.  can be structured as either a mutual fund or a unit investment trust.
• C.  is bought and sold at the net asset value of the fund.
• D.  charges no management fees.

Nancy invested $1,850 in the MidFee Mutual Fund, which has a 4% front-end load. The net asset value
(NAV) per share of the fund at the time of her purchase was $22.20.How many shares of the fund was
Nancy able to purchase?

• A.  80.13
• B.  83.33
• C.  None of the above is correct.
• D.  80.00

After passing the Series 6 and becoming a registered representative, you will be able to execute
transactions in which of the following securities?
I. corporate stocks
II. mutual funds
III. corporate bonds
IV. variable contracts

• A.  II and IV only
• B.  I, II, and IV only
• C.  II and III only
• D.  I, II, III, and IV