Latest PDF of FINRA: FINRA Administered Qualification Examination

FINRA Administered Qualification Examination Practice Test

FINRA Exam Format | Course Contents | Course Outline | Exam Syllabus | Exam Objectives

Test Detail:
The FINRA Administered Qualification Examination is a series of exams administered by the Financial Industry Regulatory Authority (FINRA) for individuals seeking registration or licensure in the financial industry. These exams assess the knowledge and competence of individuals in various areas of the financial industry. Here is a detailed description of the test, including the number of questions and time allocation, course outline, exam objectives, and exam syllabus.

Number of Questions and Time:
The number of questions and time allocation for the FINRA Administered Qualification Examination can vary depending on the specific exam. Each exam within the FINRA qualification program has its own set of requirements. It is important to refer to the specific exam guidelines provided by FINRA for accurate information regarding the number of questions and time allocated for each exam.

Course Outline:
The course outline for the FINRA Administered Qualification Examination will depend on the specific exam being taken. FINRA offers a range of exams covering different areas of the financial industry, such as securities licensing, investment banking, and regulatory compliance. Each exam has its own course outline, which outlines the topics and knowledge areas that candidates are expected to be familiar with.

Exam Objectives:
The exam objectives for the FINRA Administered Qualification Examination are designed to assess candidates' knowledge and understanding of the relevant regulations, rules, and best practices in the financial industry. The specific objectives may vary depending on the exam being taken. Generally, the exam objectives aim to evaluate candidates' competence in areas such as:

1. Industry regulations and compliance
2. Ethical standards and professional conduct
3. Products and services offered in the financial industry
4. Investment strategies and analysis
5. Client relationship management and communication

Exam Syllabus:
The exam syllabus for the FINRA Administered Qualification Examination will vary depending on the specific exam. The syllabus outlines the specific content areas, topics, and knowledge domains that candidates are expected to study and understand in preparation for the exam. The syllabus typically covers areas such as:

1. Regulatory framework and industry rules
2. Securities laws and regulations
3. Product knowledge (e.g., stocks, bonds, mutual funds)
4. Compliance and ethics
5. Risk management and suitability
6. Investment analysis and strategies
7. Client communication and relationship management

Candidates should consult the specific exam resources and study materials provided by FINRA to ensure they are adequately prepared for the exam. It is recommended to allocate sufficient time for exam preparation, including studying relevant regulatory materials, reviewing industry guidelines, and practicing with sample exam questions.

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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?
A. A significant increase in outstanding shares
B. An artificial increase in the market value of a security
C. Small shareholders realize capital losses
D. The parties pay a lower commission
Answer: B
QUESTION: 40
Under what circumstances may a registered agent represent multiple registered broker-dealers?
A. With written permission from the broker-dealers
B. When the broker-dealers are affiliated with each other
C. With written permission from the SEC
D. 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?
A. A minimum of 100 investors
B. A minimum of $100,000 in seed money
C. Must have sponsors, a board of directors, investment advisors, transfer agents and custodians
D. Must maintain a diversified portfolio that follows the 75-5-10 rule
Answer: D
14
QUESTION: 42
What must happen before a mutual fund can assess 12B-1 fees to customers?
A. The fees must be approved by the SEC
B. A majority vote from the board of directors
C. A majority vote from the Board of Directors and the shareholders
D. Fees must be stated in the fund prospectus
Answer: C
QUESTION: 43
Which type of investment sells bonds to investors as equity stakes?
A. Unit investment trust
B. Contractual plan
C. Face amount certificate
D. Front-end load contractual plan
Answer: A
QUESTION: 44
Money market securities must mature in how many months?
A. 6
B. 12
C. 13
D. 24
Answer: C
QUESTION: 45
15
settlement option for a variable annuity allows the annuitant to make withdrawals
Which type of
in any amount he chooses?
A. Unit refund life annuity
B. Joint and last survivor
C. Random withdrawal
D. Life with period certain
Answer: C
16
/( 48(67,216

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FINRA Administered Qualification Examination Practice Test

FINRA Exam Format | Course Contents | Course Outline | Exam Syllabus | Exam Objectives

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