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SERIES 6 EXAM STUDY GUIDE WITH COMPLETE SOLUTIONS
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SERIES 6 EXAM STUDY GUIDE WITH COMPLETE SOLUTIONS 12b-1 Fee - Answer️️ -a fee that enables the cost of marketing, to all existing fund shareholders. The maximum 12b-1 fee under FINRA rules is .75% of net assets cannot call a fund a no-load if the 12b-1 exceeds .25% of net assets Ask Price...

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  • September 25, 2024
  • 5
  • 2024/2025
  • Exam (elaborations)
  • Questions & answers

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  • series 6 exam study guide with complete solutions

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TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024

SERIES 6 EXAM STUDY GUIDE WITH
COMPLETE SOLUTIONS

12b-1 Fee - Answer✔️✔️-a fee that enables the cost of marketing, to all existing fund

shareholders.

The maximum 12b-1 fee under FINRA rules is .75% of net assets

cannot call a fund a no-load if the 12b-1 exceeds .25% of net assets

Ask Price - POP - Answer✔️✔️-Price at which a market maker will sell 100 shares to

public at the next computed net asset value plus a sales charge

AMT - Answer✔️✔️-Alternative minimum tax - tax code that attempts to make high

income taxpayers that use a large amount of tax deductions to reduce their taxable

income pay a fair tax 26-28%

ADR's - Answer✔️✔️-American depository receipts - registered and listed receipts held

by banks such as J.P. Morgan & Chase of foreign corporate securities bought overseas

that trade like any other stock

Asset Allocation Fund - Answer✔️✔️-A mutual fund that invests in a variety of asset

classes such as foreign securities, domestic U.S. securities (common stocks, preferred

stocks, bonds, and money market instruments), real estate, gold, and other precious

metals.

Authorized Stock - Answer✔️✔️-The legal number of stock a corporation can issue


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, TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024
BA's - Answer✔️✔️-Bankers Acceptance - a money market instrument used to finance

imports and exports

Best Efforts Underwriting - Answer✔️✔️-an investment banker committing to act as a

selling agent assuming no financial risk "makes best efforts to sell"

Bid Price - NAV - Answer✔️✔️-Price at which a market maker will buy 100 shares from

the public at the net asset value

Blend Fund - Answer✔️✔️-a mutual fund that invests in both growth and value stocks

Blue-chip Stock - Answer✔️✔️-Securities issued from the largest, consistently profitable

american companies. "steady growth and dividends"

Bond - Answer✔️✔️-long term debt security issued by a corporation, government, or

municipality that pays a fixed or variable interest rate semi annually until maturity which

the face value is payed back to the investor.

Bond Indenture - Answer✔️✔️-Written agreement between the issuer and investor stating

the terms of the bond such as the rate of interest, repayment schedule, and the

protections of the bond holder.

Book Entry - Answer✔️✔️-the way bonds, mutual funds, and equity securities are

issued.the record of ownership is kept by the Transfer agent, no physical certificates.

Book Value - Answer✔️✔️-what a company is worth if the business were terminated. The

value after tangible asset's sold and liability's paid off.




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