Do you want to PASS the Series 6 exam? If so, THIS is a great video for you.
This Questions of the Week video covers an ENTIRE SERIES 6 FINAL EXAM! That is 50 questions for you! You must feel confident in the topics presented to PASS this exam.
To check out the Series 6 course:
passmasters.com/securities/se...
On of the hardest parts about the Series 6 exam is that it expects you to know a lot of concepts! It takes time and effort to pass this exam. We believe in you and know that YOU GOT THIS!
Suzy also has courses for those of you studying for your SIE, Series 7, 63, 65 and 66 exams!
Check out all our offerings here:
passmasters.com/securities-ex...
Let's see what Sean had to say about Suzy's Series 6 course:
“I passed the Series 6 exam the first time using PassMasters. I watched all of Suzy’s videos and did all of her practice exams. The Series 6 exam is not easy. However, I learned the concepts behind the questions they asked using this course. I would recommend this course to anyone interested in a securities license. I will be back to do the Series 65!”
Please let us know how we can help you on your journey in the securities industry. Just ask in the comments. If there is a topic you would like to see Suzy cover just let us know!
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Contents
0:00 - Intro
0:23 - 1 - Advertising free offers
1:00 - 2 - Business cycle
1:50 - 3 - Form to file w/ SEC within 4 days of a material event
2:30 - 4 - Equity REIT returns
3:07 - 5 - Warrants
4:11 - 6 - MLPs
4:48 - 7 - ABLE accounts
5:37 - 8 - Mutual fund average total return
6:05 - 9 - Requirements to sell variable products
6:28 - 10 - Rule 144
6:46 - 11 - Institutional communications procedures
7:13 - 12 - Arbitration statute of limitations
7:31 - 13 - Which investment is most appropriate for the client?
8:06 - 14 - Which is not an institutional client?
8:29 - 15 - SEC's Reg S-P requires firm policies and procedures in protection of...
9:00 - 16 - Dollar cost averaging
10:08 - 17 - Rights offering
10:53 - 18 - Which is not a requirement under ERISA?
11:13 - 19 - Debt issue maturity
11:52 - 20 - Form D notice of sales requirements
13:02 - 21 - Confirmations in the case of limited power of attorney over brokerage accounts
13:41 - 22 - Obligations under Regulation Best Interest
14:19 - 23 - Communications with the public
14:58 - 24 - Broker-dealers must disclose capacity in which they acted on client's...
15:26 - 25 - Which are taxable at ordinary income rates?
16:05 - 26 - Warrants are options that are good for up to:
16:27 - 27 - Which are true regarding internal comms and correspondence at a member firm:
17:07 - 28 - A program disclosure document is given to investors when purchasing a(n):
17:41 - 29 - Who oversees FINRA's Department of Enforcement?
18:11 - 30 - Variable life insurance policies free look provision
18:44 - 31 - Which recommendation does not have interest rate risk?
20:06 - 32 - Which SEC Rule allows for securities to be sold in one state only?
20:33 - 33 - When a portfolio's return is more than expected using CAPM, the excess is:
20:54 - 34 - Which account registration is most appropriate?
21:33 - 35 - Market sentiment is measured primarily using:
22:02 - 36 - Best Execution and Interpositioning
22:42 - 37 - Open order automatic adjustments when stock goes ex-dividend
23:15 - 38 - Activities prohibited by FINRA Rule 6140
24:21 - 39 - All of the following would be allowed in a generic advertisement except:
24:49 - 40 - Which federal rule allows for a new issue to be registered in one state only?
25:28 - 41 - Treasury stock has what effect on shareholders' equity?
25:58 - 42 - Credit risk
27:00 - 43 - For an issue to be exempt from federal reg when sold intrastate ____ must be true
27:45 - 44 - Cost basis of inherited shares
29:05 - 45 - Taxation of long-term capital gains distributions
29:43 - 46 - Letter of intent
30:21 - 47 - When a discount bond nears its maturity date its price:
30:59 - 48 - Capital asset pricing model
29:20 - 49 - Eurodollar bonds
33:01 - 50 - Regulated investment company
34:17 - END OF EXAM
36:05 - Thanks for watching!
24 июл 2024
