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FINRA : FINRA Administered Qualification Examination

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FINRA Administered Qualification Examination


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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


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