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Sharpen Your Knowledge with Finra (Series-6) Certification Sample Questions
CertsTime has provided you with a sample question set to elevate your knowledge about the Finra Investment Company and Variable Contracts Products Representative exam. With these updated sample questions, you can become quite familiar with the difficulty level and format of the real Series-6 certification test. Try our sample Finra Investment Company and Variable Contracts Products Representative certification practice exam to get a feel for the real exam environment. Our sample practice exam gives you a sense of reality and an idea of the questions on the actual Finra Products Representative Qualification certification exam.
Our sample questions are similar to the Real Finra Series-6 exam questions. The premium Finra Investment Company and Variable Contracts Products Representative certification practice exam gives you a golden opportunity to evaluate and strengthen your preparation with real-time scenario-based questions. Plus, by practicing real-time scenario-based questions, you will run into a variety of challenges that will push you to enhance your knowledge and skills.
Finra Series-6 Sample Questions:
Ms. Newbie's client, Mr. Nomad, has decided that he wants to go on an extended backpack trip through the Amazon. Since he'll be out of touch, he has given a friend of his limited power attorney to act on his behalf. Based on this, Mr. Nomad's friend can:
i. present Ms. Newbie with an order to purchase securities on Mr. Nomad's behalf.
ii. present Ms. Newbie with an order to sell securities on Mr. Nomad's behalf.
iii. request a check be issued to him so that he can send Mr. Nomad some money.
Ms. Newbie is a newly-minted registered representative. Mr. Oldman saunters into her office, becomes infatuated with her, opens an account, and signs a document giving Ms. Newbie discretionary authority over the account. Mr. Oldman is 68 years old, retired, lives on a fixed income, and pays taxes at the lowest marginal tax rate available. His stated investment objectives are capital preservation and income. Ms. Newbie invests of his investment monies in a periodic-payment, deferred, variable annuity. Based on these facts:
A discretionary account authorization permits a registered representative to decide:
ion No: 308
Ms. Newbie, a newly-minted registered representative with Savvy Investments, just had her first client walk through the door. The new account form that the client receives a copy of must contain the signatures of:
i. the client.
ii. Ms. Newbie.
iii. Ms. Newbie's branch manager/supervisor.
Ms. Newbie, a newly-minted registered representative with Savvy Investments, just had her first client walk through the door. Before she can do anything, Ms. Newbie must obtain which of the following pieces of information from her client?
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