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Finra Exam Series-6 Topic 6 Question 83 Discussion
Actual exam question for
Finra's
Series-6 exam
Question #: 83
Topic #: 6
[All Series-6 Questions]
Topic #: 6
On which of the following items do mutual fund shareholders get to vote?
i. any change in the investment objective of the fund
ii. the election of a new investment adviser
iii. the renewal of the fund's 12b-1 fee
IV. the purchase or sale of real estate by the fund
Suggested Answer:
B
A broker dealer is required to file a Currency Transaction Report with the Treasury Department for any cash transaction exceeding $10,000. The report does not need to be filed if the transaction simply has a market value of $10,000, but does not involve cash (aka, currency.)
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