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Pass your Finra Series-6 Exam with accurate Questions & Answers
Investment Company and Variable Contracts Products Representative
Last Updated: Oct 2, 2024
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325 Questions and Answers for the Finra Series-6 exam
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Finra Investment Company and Variable Contracts Products Representative Syllabus
- Consideration of Promotion of Efficiency, Competition, and Capital Formation/ Reinvestment of dividend income and capital gains distributions
- Employment of Manipulative and Deceptive Devices by Brokers or Dealers/ Seminars, lectures and other group forum requirements
- Records To Be Made by Certain Exchange Members, Brokers and Dealers/ Standards and required approvals of public communications
- Exemption for Limited Offers and Sales Without Regard to Dollar Amount of Offering/ Advertising by an Investment Company as Satisfying Requirements of Section 10
- Types of mutual funds: equity, fixed-income, money market, interval/ Essential facts regarding customers and customer relationships
- Civil Liabilities Arising in Connection with Prospectuses and Communications/ Requirements for the Use of Bond Mutual Fund Volatility Ratings
- Circumstances for refusing or restricting activity in an account or closing accounts/ Determination of net long-term and short-term gains or losses
- Insignificant Deviations from a Term, Condition or Requirement of Regulation D/ Materials Not Deemed an Offer To Sell or Offer To Buy Nor a Prospectus
- Reasonable-basis, customer-specific and quantitative care obligations/ Financial factors relevant to assessing a customer’s investment profile
- Customer-specific factors that generally affect the selection of products/ Communications with the Public About Variable Life Insurance and Variable Annuities