Finra Series-6 Exam - Topic 6 Question 2 Discussion

Actual exam question for Finra's Series-6 exam

Question #: 2
Topic #: 6

[All Series-6 Questions]

Which of the following types of securities would not be traded in the over-the-counter market?

i. stock options

ii. government bonds

iii. corporate bonds

IV. corporate stocks

AI only

BI and IV only

CIII and IV only

DAll of the choices are traded in the over-the-counter market.

Show Suggested Answer

Suggested Answer: D

All of the choices listed-and more-are traded in the over-the-counter market: stock options, government bonds, corporate bonds, and corporate stocks. Additionally, securities such as warrants, rights, forward contracts, and foreign currencies also trade in the over-the-counter market.

by Carey at May 03, 2022, 02:41 PM

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Mari

4 months ago

Not sure about that, sounds too broad to me.

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Kirk

4 months ago

I agree, all of these can be traded OTC.

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Karrie

4 months ago

Wait, are corporate stocks really not traded OTC?

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Geraldo

4 months ago

I think stock options are also OTC.

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Carylon

5 months ago

Government bonds are definitely traded OTC.

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Blossom

5 months ago

I’m leaning towards option B, but I can’t recall if corporate bonds are sometimes traded on exchanges too.

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Shelba

5 months ago

I feel like all of these could be traded OTC, but I have a nagging doubt about government bonds.

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Fanny

5 months ago

I remember practicing a question like this, and I think corporate stocks are usually listed on exchanges, not OTC.

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Queen

5 months ago

I think stock options are definitely traded OTC, but I'm not sure about government bonds.

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Elmira

5 months ago

I think the middle office is responsible for the operations side of the trading desk, like data entry and reconciliations. It's not the front office that actually does the trading, and it's not the back office that handles the accounting and risk management.

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Nobuko

5 months ago

I think the XML parser attack could be avoided because Service A managed to handle the XML bomb without crashing, but I'm not completely sure.

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Reta

5 months ago

Hmm, I'm a bit unsure about this one. The question mentions both IPv4 and IPv6, so I'm wondering if the mgmt0 interface would be able to handle both. And I'm not too familiar with SNMP, so I'll need to review that option more closely.

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