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FINRA - FINRA Administered Qualification Examination - Dump Information

Vendor	:	Financial
Exam Code	:	FINRA
Exam Name	:	FINRA Administered Qualification Examination
Questions and Answers	:	45 Q & A
Updated On	:	December 14, 2017
PDF Download Mirror	:	FINRA Brain Dump
Get Full Version	:	Pass4sure FINRA Full Version

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FINRA Questions and Answers

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
2. Joint and last survivor
3. Random withdrawal
4. Life with period certain

Answer: C

Financial FINRA Exam (FINRA Administered Qualification Examination) Detailed Information

Qualification Exams
To become registered, securities professionals must pass qualifying exams administered by FINRA to demonstrate their competence in the particular securities activities in which they will work. You must pass the exams prior to engaging in those areas of the business.
These exams cover a broad range of subjects on the markets, and the securities industry and its regulatory structure. This includes knowledge of FINRA rules and also the rules of other self-regulatory organizations (SROs). The purpose of the exams is to ensure that you acquire a minimum level of understanding and expertise.
Schedule an Exam
Schedule an ExamOn the Day of Your Exam
On the Day of Your ExamAfter Your Exam
After Your Exam
Duration (minutes) Questions Cost
Series 3 - National Commodities Futures Examination 150 120 $125
Series 4 - Registered Options Principal Examination (OP) 195 125 $105
Series 6 - Investment Company and Variable Contracts Products Representative Examination (IR) 135 100 $100
Series 7 Exam - General Securities Representative Examination (GS) 360 250 $305
Series 9 and 10 - General Securities Sales Supervisor Examination S9: 90
S10: 240 S9: 55
S10:145 S9: $80
S10: $125
Series 11 - Assistant Representative - Order Processing Examination (AR) 60 50 $80
Series 14 - Compliance Official Examination (CO) 180 110 $350
Series 16 - Supervisory Analysts Examination (SA) Part 1: 90
Part 2: 120 Part 1: 50
Part 2: 50 $240
Series 17 - United Kingdom Securities Representative (IE) 150 100 $80
Series 22 - Direct Participation Programs Limited Representative Examination (DR) 150 100 $100
Series 23 - General Securities Principal Exam - Sales Supervisor Module (GP) 150 100 $100
Series 24 - General Securities Principal Examination (GP) 225 150 $120
Series 26 - Investment Company and Variable Contracts Products Principal Examination (IP) 165 110 $100
Series 27 - Financial and Operations Principal Exam (FN) 225 145 $120
Series 28 - Introducing Broker-Dealer Financial and Operations Principal Examination (FI) 120 95 $100
Series 30 - NFA Branch Manager Examination (formerly, Branch Managers Examination – Futures) 60 50 $80
Series 31 - Futures Managed Funds Examination 60 45 $80
Series 32 - Limited Futures Examination - Regulations 45 35 $80
Series 34 - Retail Off-Exchange Forex Examination 60 40 $80
Series 37 - Canada Securities Representative Examination (CD) 150 90 $185
Series 38 - Canada Securities Representative Examination (CN) 75 45 $185
Series 39 - Direct Participation Programs Principal Examination (DP) 135 100 $95
Series 42 - Registered Options Representative Examination (OR) 90 50 $75
Series 50 - Municipal Advisor Representative Examination 180 100 $265
Series 51 - Municipal Fund Securities Limited Principal Examination 90 60 $255
Series 52 - Municipal Securities Representative Examination (MR) 210 115 $280
Series 53 - Municipal Securities Principal Examination (MP) 180 100 $265
Series 57 - Securities Trader Examination (TD) 225 125 $120
Series 62 - Corporate Securities Representative Examination (CS) 150 115 $95
Series 63 - Uniform Securities Agent State Law Examination 75 60 $125
Series 65 - Uniform Investment Adviser Law Examination 180 130 $165
Series 66 - Uniform Combined State Law Examination 150 100 $155
Series 72 - Government Securities Representative Examination (RG) 180 100 $110
Series 79 - Investment Banking Representative Examination (IB) 300 175 $305
Series 82 - Private Securities Offerings Representative Examination (PR) 150 100 $95
Series 86 and 87 - Research Analyst Examination (RS) S86: 270
S87: 105 S86: 100
S87: 50 S86: $185
S87: $130
Series 91 - FDIC Safety and Soundness Technical Evaluation 240 100 $200
Series 92 - FDIC Compliance Technical Evaluation 240 100 $200
Series 93 - FDIC Division of Resolutions and Receiverships Technical Evaluation 240 100 $200
Series 99 - Operations Professional Examination (OS) 150 100 $130

Financial FINRA

FINRA exam :: Article by ArticleForgeseries 7 examination Questions Maximize your ranking on the FINRA sequence 7 examination with this handy, enjoyable-to-use app from the specialists at McGraw-Hill education. With questions and solutions comparable to the ones you will discover on the familiar Securities consultant examination (GRSE) itself, the app offers an essential overview of crucial cloth. look at on the go, at any place and on every occasion which you can. organized by means of key fiscal topic, the collection 7 app provides questions and distinct answers in 11 categories. Free preliminary down load of the app offers one query and reply per category with up to 500 questions and answers obtainable via a single in app purchase of $19. 99. normal inventory and preferred inventory. Bonds. Municipal Bonds. Margin money owed and lengthy and brief Investments. alternate options. funding agencies. Underwriting: The Securities Act of 1933. Exchanges: The NYSE and NASD. Direct Participation classes. Taxation issues. financial plan AnalysisWith this dynamic app, that you could with ease personalize your study FINRA plan by flagging questions as you go. You can also create a quiz composed entirely of these flagged questions. unique analytics help you assessment your quiz history and personalised records together with your weekly growth and category strengths and weaknesses. So, even if you had been learning all yr or are doing a last-minute review, the series 7 examination inquiries to know with the aid of verify Day app from McGraw-Hill training is certain to boost your self belief and your ranking.
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FINRA 2016 exams. Are You equipped?No outcome discovered, are trying new key phrase!At an adventure a few weeks in the past, I interviewed Mitchell Atkins about monetary trade Regulatory Authority (FINRA) 2016 exam Priorities. Atkins labored for FINRA for more than twenty years and now's predominant at FirstMark Regulatory options, a specialist ...
Are alterations Coming to FINRA checks? This replica is on your own, non-commercial use best. To order presentation-in a position copies for distribution to your colleagues, valued clientele or customers, click the "Reprints" hyperlink on the backside of any article.
November 11, 2014 At SIFMA annual, Ketchum says FINRA is anonymously surveying brokers about its examination program The financial industry Regulatory Authority is relocating ahead with its controversial plan to collect broker-dealer account statistics through its complete automatic risk facts system (cards) software as FINRA is “getting to complications where investors are severely harmed too late,” and is "testing" the influence of its broker recruitment compensation plan, Richard Ketchum, the self-regulator’s CEO, stated Monday.
speaking on the Securities business and economic Markets association’s annual conference in manhattan all over a question-and-answer session with Ira Hammerman, SIFMA’s executive vice chairman and familiar tips, Ketchum additionally noted FINRA will send out someday this week an “nameless” questionnaire from a third party to broking service-dealers with the intention to get their comments on FINRA’s examination application.
“We are interested in what burden we're imposing and no matter if we're concentrated on the right things or not,” Ketchum spoke of.
feedback on FINRA’s 2d iteration of its playing cards inspiration are due via Dec 1.
Ken Bentsen, SIFMA’s president and CEO, talked about Monday on the SIFMA experience that SIFMA opposes playing cards. Hammerman delivered all the way through his Q&A session with Ketchum that SIFMA “may have a complete answer” for FINRA related to playing cards by using Dec. 1.
Rep. Scott Garrett, R-N.J., chairman of the condominium fiscal functions Subcommittee on Capital Markets and govt-subsidized companies, advised FINRA in mid-October to dangle off on its “expensive and burdensome” cards plan.
“After a preliminary read FINRAing of the proposed rule, I stay removed from satisfied that this new, costly and burdensome inspiration is required,” Garrett said in his October commentary.
Ketchum additionally noted that FINRA hopes to are seeking amendments to the two suggestions — communications with the public and its gifts, gratuities and noncash compensation suggestions — the self-regulator become reviewing as a part of its retrospective assessment.
FINRA plans to take the feedback on how these suggestions should be revised to its board in December, Ketchum spoke of. FINRA’s board would ought to approve any amendments made to each suggestions.
Ketchum talked about that FINRA is additionally “testing” the have an effect on of a broking service recruitment compensation plan.
FINRA issued for public comment on Sept. 22 a concept that curtails its previous draft rule requiring, in most cases, disclosure of recruitment bonuses and incentives.
The proposal would require recruiting organizations to deliver a FINRA-created educational verbal exchange to former retail valued clientele of a transferring consultant who're for the reason that transferring assets to the rep’s new firm.
“Our thought can be a constant disclosure document for all enterprises,” Ketchum spoke of Monday on the SIFMA event.
“We don’t wish to do the rest that discourages competitors,” he stated, “but we are looking to make sure that consumers can ask and feel during the correct questions” regarding the costs they might also incur, investments that may now not be transferrable, as smartly as the monetary incentives the broker is receiving when transferring to a further enterprise.
--- linked on ThinkAdvisor:

FINRA’s Proposed examination trade generally is a Boon for Recruiting a new FINRA proposal to exchange the assessments registered reps should take is usually a boon for more youthful brokers looking to enter the occupation.
natural broking service practicing programs are notorious for his or her low success rates; most effective a fraction of people that start the programs complete them. however FINRA has proposed a new exam constitution, the place competencies registrants would take a conventional advantage examination, similar to the series 7, devoid of the want for a enterprise agreeing to sponsor them.
the new examination, if handed, would be legitimate for as much as four years, giving people time to find a job. once they be a part of an organization, they'd be required to take a greater specialized examination correlated to their certain position, reminiscent of investment company and Variable Contracts products consultant, widespread FINRA Securities representative, fairness trader, or investment Banking representative. in the adventure of a job change, they would not have to retake the widespread FINRA exam, just the specialized verify associated with that place. these assessments would nevertheless expire after two years.
“FINRA believes that expanding who's eligible to take an examination will permit prospective securities trade authorities to demonstrate to prospective employers a primary stage of expertise previous to a job software,” FINRA states in its notion. “furthermore, FINRA believes this strategy would enable for extra flexibility and career mobility within the securities industry.”
The regulator is at the moment reviewing feedback and plans to roll out the popular advantage exam in the fourth quarter of 2016.
The accepted exam, which FINRA calls the Securities trade necessities Examination (SIE), would cowl simple product capabilities, constitution and functioning of the securities business markets, regulatory companies and their services, and controlled and prohibited practices.
“these days, there are a large number of examinations, appreciable content material overlap throughout the representative-degree examinations and necessities for people in quite a lot of segments of the trade to pass distinct examinations,” the thought states. “The proposed structure would dispose of duplicative checking out of common securities capabilities on examinations.”
John Rahal, normal companion accountable for fiscal advisor talent acquisition at Edward Jones, mentioned the new constitution will boost the candidate pool of americans drawn to monetary functions.
“[The test] offers you the capability to assert, ‘I’m truly interested in this,’ or now not, and the 2nd benefit is that establishments like Edward Jones or Morgan or Wells or Merrill get a candidate that’s alread FINRAy pretty lots self-recognized that they might like to pursue a chance in this occupation,” Rahal observed. “So with a bit of luck the success cost of monetary advisors in this industry would raise.”
Most country wide companies provide registrants a finite number of times to move the collection 7, Rahal observed. Edward Jones customarily permits trainees to take it twice, counting on their rating the first time.
In 2014, FINRA administered 210,000 exams, 43,000 of that have been for the collection 7. but the regulator would now not supply figures for old years. Rahal believes it has been on the decline over the last 10 years.
of their comments, industry advocacy companies SIFMA and the financial capabilities Institute have been mostly supportive of the alterations, with SIFMA asserting the brand new process would make assessments much less onerous, low-cost and more efficient.
“via this idea, they’d be making it a whole lot less demanding for americans to enter the occupation, and here is a time when recruiting the subsequent technology of advisors is basically an immense initiative for the trade,” said Robin Traxler, FSI’s vice chairman of regulatory affairs and affiliate frequent tips. “It doubtless goes to aid them in picking a firm that’s correct for them, instead of simply working with the company that recruited them. they can take this examination and then in fact work to discover a firm that is a fine healthy for them.”
but SIFMA believes the assessments should be valid for five years, arguing that the content material lined in them doesn’t exchange an awful lot.
The draft outline for the SIE indicates that it would test particulars of rules, governing issues like net capital, margin, order and quote display. SIFMA and FSI argue that such ideas can be more suitable perfect to the specialized tests.
“The individuals taking those really expert checks are definitely working in those areas and actually need that capabilities,” Traxler said.
Yet some companies adversarial the plan. N.I.S. fiscal services, which offers mutual funds, noted the adjustments would restrict the number of reps coming into the trade, and easily “offer protection to entrenched pursuits of businesses.”
PFS Investments noted the brand new structure could create a barrier to entry for individuals coming into the industry if the transition is not managed correct. In particular, FINRA may still agree with decrease examination fees, same-day testing for the SIE and other checks, shorter waiting durations between makes an attempt to take a examine, move price advice, a discount in check questions and a delayed implementation of the changes unless 2017.
Lisa Roth, president at Monahan & Roth, doesn’t agree with people should still be capable of take the examination devoid of working for a member enterprise. “The suggestions of conduct do not tackle restrictions on how a person may hang him or herself out to the general public after passing the examination,” she wrote.
FSI expressed a similar situation, arguing that dangerous actors might use the SIE as a way to defraud traders. The group recommends making a surveillance application to combat this.
on the same time, the brand new examination structure may enrich investor training. Brian Marks, most important and senior managing director at Knopman Marks monetary training, stated traders will are looking to take the regular expertise exam to become more informed concerning the items they’re purchasing.
“here is a technique that an investor can doubtlessly view the examination as a method to take note a bit bit more about what their brokers are doing and about the items that they personal in their portfolios,” Marks noted. “I believe you’re going to look that this results in greater knowledgeable investor base.”

Finra launches exam sweep of enterprise construction businesses Finra has launched an examination sweep of nontraded company construction agencies, the latest alternative investment product to receive increased scrutiny from the broking service-broker regulator.In an examination letter posted on its site Thursday, the monetary trade Regulatory Authority Inc. mentioned it is requesting an inventory of BDCs provided by way of Finra individuals in addition to an inventory of the brokers who've selling agreements with every BDC. The organization is also seeking a replica of the businesses' due diligence procedures for evaluating the BDC and taking part brokers.The advice request covers the duration

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