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Sample Questions

PDF Series-6 Dumps Exam Question 1

Mr. Bashful, Mr. Sleepy, Mr. Doc, Mr. Grumpy, Mr. Sneezy, and Mr. Happy are all employees of S. White Investment Advisers. Mr. Doc, Mr. Sneezy, and Mr. Happy give investment advice to the firm’s clients and manage their portfolios. Mr. Sleepy greets clients and makes cold calls to solicit more business for the firm. Mr. Bashful performs general clerical services, such as filing. Mr. Grumpy is the office manager and is the direct supervisor of the other five employees.
Which of S. White’s employees must register as investment adviser representatives under the Investment Advisers Act of 1940?

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Free FINRA Series-6 Exam Question 2

Which of the following retirement plans requires the employer to match employee
contributions in accordance with specific guidelines?

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Series-6 Free Exam Question 3

Which of the following would be a reason for a person to receive a statutory disqualification from membership in FINRA?

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PDF Series-6 Dumps Exam Question 4

Phil Anthropy wrote his cousin a $15,000 check to pay for medical bills the cousin had accumulated. He also distributed $5,000 checks to three nephews who were in college, and gave his mother a check for $12,000. Have Phil’s actions triggered any gift taxes?

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Dumps4download Series-6 Latest and Free Exam Question 5

In mid-September, the stock of, Inc. (AMZN) is selling for $147.A January call option on the stock is selling for $6.10 and has a strike price of $160. This call option is:

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