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Exam Series 6 All Questions

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Exam Series 6 topic 1 question 78 discussion

Actual exam question from FINRA's Series 6
Question #: 78
Topic #: 1
[All Series 6 Questions]

Any person who willfully acts in violation of the Securities Act of 1933, or any SEC rule, is subject to a penalty of:

  • A. 10 years in prison or a $10,000 fine, or both.
  • B. 5 years in prison or a $10,000 fine, or both.
  • C. 10 years in prison or a $25,000 fine, or both.
  • D. 5 years in prison or a $5,000 fine, or both.
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Suggested Answer: B 🗳️
Any person who willfully acts in violation of the Securities Act of 1933, or any SEC rule, is subject to a penalty of 5 years in prison or a $10,000 fine, or both.
by lolojepu at April 6, 2025, 1:15 a.m.

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