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Free Series-6 Questions for Finra Series-6 Exam as PDF & Practice Test Software

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Total 325 questions

Question 1

Which of the following is not a cost associated with an investment in a variable annuity contract?

Answer : D

Question 2

Your client bought a variable annuity contract that has a 5% contingent deferred sales charge with a 7-year surrender period four years ago. He has been reading about bonus annuities and 1035 exchanges and has asked for your advice. You can tell him:

Answer : D

Question 3

The premiums paid on which of the following are paid into the general account of an insurance company?

i. whole life

ii. universal life

iii. term life

IV. variable life

Answer : C

Question 4

The subaccounts into which Mr. Sumrisk directed his variable life premiums have earned a 6% return. If the assumed interest rate was 7%:

i. the cash value of his policy increased.

ii. the death benefit associated with his policy decreased.

iii. the cash value of his policy decreased.

IV. the death benefit associated with his policy increased.

Answer : A

Question 5

Upon receiving a complaint about one of its member firms, FINRA may:

i. require any person associated with the member firm to provide information to FINRA and to testify under oath.

ii. inspect and copy the books, records and accounts of the member firm.

iii. share information obtained from its investigation of a member firm with a foreign regulatory agency.

Answer : D

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Total 325 questions