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Exam Series 6 All Questions

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Exam Series 6 topic 1 question 140 discussion

Actual exam question from FINRA's Series 6
Question #: 140
Topic #: 1
[All Series 6 Questions]

Under FINRA Rule 2830, a member firm and its associates are prohibited from selling shares of a mutual fund if the service fees disclosed in the fund prospectus exceed:

  • A. 0.25% of the fund’s average annual net assets.
  • B. 0.50% of the fund’s average annual net assets.
  • C. 0.75% of the fund’s average annual net assets.
  • D. 1.00% of the fund’s average annual net assets.
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Suggested Answer: A 🗳️
Under FINRA Rule 2830, a member firm and its associates are prohibited from offering to sell shares of a mutual fund if the service fees disclosed in the fund prospectus exceed 0.25% of the funds average annual net assets.
by lolojepu at April 6, 2025, 1:19 a.m.

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