FINRA : FINRA Administered Qualification Examination

FINRA Dumps FINRA Braindumps
FINRA Real Questions FINRA Practice Test FINRA Actual Questions
killexams.com Financial FINRA
FINRA Administered Qualification Examination
https://killexams.com/pass4sure/exam-detail/FINRA
D. Investment performance being inconsistent with the expectations provided by the investment advisor
Answer: B
QUESTION: 39
What occurs when parties engage in matching purchases?
1. A significant increase in outstanding shares
2. An artificial increase in the market value of a security
3. Small shareholders realize capital losses
4. The parties pay a lower commission
Answer: B
QUESTION: 40
Under what circumstances may a registered agent represent multiple registered broker-dealers?
1. With written permission from the broker-dealers
2. When the broker-dealers are affiliated with each other
3. With written permission from the SEC
4. With written permission from FINRA
Answer: B
QUESTION: 41
Which is not part of the criteria in the Investment Company Act of 1940 requirement for an investment fund to be considered a mutual fund?
1. A minimum of 100 investors
2. A minimum of $100,000 in seed money
3. Must have sponsors, a board of directors, investment advisors, transfer agents and custodians
4. Must maintain a diversified portfolio that follows the 75-5-10 rule
Answer: D
QUESTION: 42
What must happen before a mutual fund can assess 12B-1 fees to customers?
1. The fees must be approved by the SEC
2. A majority vote from the board of directors
3. A majority vote from the Board of Directors and the shareholders
4. Fees must be stated in the fund prospectus
Answer: C
QUESTION: 43
Which type of investment sells bonds to investors as equity stakes?
1. Unit investment trust
2. Contractual plan
3. Face amount certificate
4. Front-end load contractual plan
Answer: A
QUESTION: 44
Money market securities must mature in how many months?
1. 6
2. 12
3. 13
4. 24
Answer: C
QUESTION: 45
Which type of settlement option for a variable annuity allows the annuitant to make withdrawals in any amount he chooses?
1. Unit refund life annuity
Joint and last survivor
2. Random withdrawal
3. Life with period certain
Answer: C

User: Tena***** Question bank was incredibly useful, and I passed my FINRA exam with a 68.25% score. Their database is regularly updated, and I highly recommend it to anyone pursuing FINRA certification.

User: Yelena***** The accurate questions and answers provided by Killexams.com enabled me to pass the FINRA exam on my very first attempt, achieving a solid 78% mark. My actual score was even higher at 90%, but due to a marking discrepancy, it was adjusted to 78%. I sincerely appreciate the outstanding work done by the Killexams.com team and wish them continued success.

User: Kira***** My roommate and I have lived together for a long time, and we often disagree and argue about various matters. However, if there is one thing we both agree on, it is that Killexams.com is the best platform to use if you want to pass your FINRA exam. We both used it and were very satisfied with the results we got. I was able to perform well in my FINRA exam, and my marks were excellent. Thank you for the guidance.

User: Vivian***** I am now a proud finra certified professional, and Killexams.com made it possible. Their user-friendly exam simulator and authentic questions provided clear guidance, much like a skilled mentor. I scored 89% on the exam, thanks to their detailed explanations, which clarified complex concepts and calculations. Killexams.com is a game-changer for anyone pursuing this certification.

User: Natalia***** I never imagined I could achieve a 92% score on the finra exam, but killexams.com’s practice test materials made it possible. Their well-designed questions and answers were both powerful and reliable, providing a clear path to understanding the exam content. The platform’s user-friendly interface and comprehensive coverage gave me the confidence to excel. I am proud of my accomplishment and highly recommend killexams.com to anyone preparing for the finra exam.

---