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Finra Series-6 Exam Questions
- Topic 1: Seeks Business for the Broker-Dealer from Customers and Potential Customers: This section of the exam measures the skills of Financial Representatives and covers how professionals initiate and maintain client relationships for their broker-dealer firms. It includes understanding standards and approvals for public communications, types of marketing materials, and regulatory requirements for investment product promotions. Candidates are also evaluated on their knowledge of prospectus requirements, new issue procedures, and the legal framework governing securities offerings and advertisements.
- Topic 2: Opens Accounts After Obtaining and Evaluating Customers Financial Profile and Investment: This section of the exam measures the skills of Client Relationship Managers and focuses on gathering and assessing client information before opening investment accounts. It includes evaluating financial profiles, investment objectives, account registration types, and retirement or tax-advantaged accounts. The section emphasizes compliance with Know Your Customer (KYC) and privacy regulations, handling documentation, and obtaining supervisory approvals required for account setup and maintenance.
- Topic 3: Provides Customers with Information About Investments, Makes Recommendations, Transfers Assets, and Maintains Appropriate Records: This section of the exam measures the skills of Investment Advisors and focuses on guiding clients through investment strategies, product features, risks, and portfolio management. It evaluates customer-specific factors, suitability requirements, tax implications, and the characteristics of various investment products such as mutual funds, ETFs, annuities, and municipal fund securities. It also tests the candidate understanding of required disclosures, fees, risk factors, and procedures for maintaining accurate records, statements, and transaction confirmations.
- Topic 4: Obtains and Verifies Customers Purchase and Sales Instructions; Processes, Completes, and Confirms Transactions: This section of the exam measures the skills of Operations Specialists and focuses on executing customer orders and ensuring accurate trade processing. It includes knowledge of trade execution, best execution standards, delivery and settlement requirements, and resolving discrepancies or complaints. Candidates are assessed on their ability to handle order tickets, automated execution systems, error resolution, and regulatory reporting procedures, ensuring all transactions comply with industry and FINRA standards.
Free Finra Series-6 Exam Actual Questions
Note: Premium Questions for Series-6 were last updated On Oct. 04, 2026 (see below)
When the U.S. dollar appreciates relative to other world currencies,
i. the prices of all domestic stocks and bonds can be expected to increase.
ii. the prices of securities offered by manufacturers that import a lot of their parts can be expected to increase.
iii. an increase in the purchase of U.S. securities by foreign investors can be expected.
When the U.S. dollar appreciates relative to other world currencies, the prices of securities offered by manufacturers that import a lot of their parts can be expected to increase. This is because the dollar will buy more, so the parts will cost these firms less. All else equal, a decrease in expenses leads to increased cash flow, which leads to an increase in the prices of the securities offered by these firms. Not all domestic companies will benefit from the appreciation of the dollar. In particular, firms that export their products overseas may be hurt since their products will now cost the foreign consumer more in terms of their own country's currency, and they may seek another supplier. A similar argument exists for why Selection III is not correct. U.S. securities will be more expensive to foreign investors, who may decide to invest in other foreign markets.
Steel Dynamics (STLD) has a convertible bond issue that matures in four years. The bond has a face value of $1,000 and pays a coupon of 5.125%, with interest paid semiannually. The conversion ratio is 56.9801. If the stock of Steel Dynamics is currently priced at $15 a share, what is the conversion value of this bond, to the nearest cent?
The conversion value of this bond $854.70. It is equal to its conversion ratio of 56.9801 times the current market price of its stock, $15. Thus, 56.9801 x $15 = $854.70.
Common stock and preferred stock differ in that:
Common stock and preferred stock differ in that preferred stockholders will receive their part of the proceeds if the firm is liquidated before the common shareholders receive anything. Neither preferred stock nor common stock dividends are legal obligations of the firm. Preferred stock typically pays a fixed dividend that does not vary with the firm's earnings, while the common stock dividend may.
Except in special circumstances specified in the preferred stock agreement, preferred shareholders have no voting rights.
The stock of Nutrisystem, Inc. (NTRI) is selling for $17.70 when Miss Piggy places a limit order to buy the stock at $17.65. During the period the order is open, NTRI falls to $17.60 and then increases to $17.67.
Which of the following statements is most likely to be true in this scenario?
If Miss Piggy placed an order to buy the stock of Nutrisystem (NTRI) at $17.65, the statement most likely to be true is that she bought the stock for no more than $17.65. A limit order specifies the maximum price she's willing to pay, and her order would not be executed at any price higher than $17.65. It is possible, but highly unlikely, that her order would be executed for as low as $17.60 a share.
The MaxCharge fund has a 5% front-end load and a 12b-1 fee that is 0.25% of its average net assets. Under these conditions, any rear-end load, it may have, is limited to:
Since the MaxCharge fund has a 5% front-end load and a 12b -1 fee that is 0.25% of its average net assets, any rear-end load, it may have, is limited to 3.25%. The maximum sales charge that is allowed is 8.5%, and this includes the front-end load, rear-end load, and 12b-1 fee. Since MaxCharge has a front-end load and a 12b-1 fee that totals 5.25%, its rear-end load is limited to 8.5% - 5.25% = 3.25%.
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