FINRA Series6 : Investment Company and Variable Contracts Products Representative Examination (IR)

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FINRA Series6 Exam Syllabus Topics:

FINRA Investment Company and Variable Contracts Products Representative Examination (IR) Sample Questions:

Question #1

The Slippery Fund is a high-yield bond fund, which means it invests a substantial amount of its money in:

A. investment-grade bonds.
B. junk bonds.
C. bonds with an AAA rating.
D. high-quality bonds.

Question #2

GoForBroke Broker-Dealers has distributed a list of ten mutual funds that it suggests are top-notch funds
worthy of recommendation by GoForBroke's agents. Coincidentally, all the funds on this list also happen
to be those that execute the majority of their trades through GoForBroke. Is GoForBroke in violation of
any FINRA rules?

A. Yes. GoForBroke is prohibited from selling shares of mutual funds that execute their trades through the
broker-dealer. This rule is in place to avoid conflicts of interest.
B. Yes. By distributing a list naming specific funds that coincidentally all happen to execute a lot of trades
through GoForBroke, the broker-dealer is violating FINRA's anti-reciprocal rule.
C. No. GoForBroke only distributed a list of fund names; it did not offer its agents any form of additional
compensation for selling the funds on that list.
D. No. As long as the list consists of more than five funds, GoForBroke has not violated any FINRA rules.

Question #3

One difference between investing in a variable annuity and in a mutual fund is that:

A. the fees and charges associated with investing in a mutual fund are much higher than those associated
with investing in a variable annuity contract.
B. Mutual fund investors have voting rights; owners of variable annuity contracts have no voting rights.
C. the variable annuity guarantees a minimum rate of return on your investment.
D. the premiums invested in a variable annuity grow tax-deferred.

Question #4

Which of the following statements regarding the required distribution of income by a regulated investment
company are true?

A. Both A and B are true statements.
B. If an investor in the investment company has elected to reinvest his dividend and capital income in the
company rather than receiving a check, then the investor is not required to pay taxes on the reinvested
funds.
C. Both short-term and long-term capital gains earned by the company can be distributed only once a
year.
D. Under current tax laws, qualifying dividends distributed to the company's investors are taxable to those
investors at a preferential rate-i.e., either 0% or 15%, depending on the investor's marginal tax rate.

Question #5

Which of the following would not have to register as an investment adviser or an investment adviser
representative under the Investment Advisers Act of 1940?
I. an insurance agent who sells only whole life and term life policies
II. a commodity futures broker
III. a bank employee who sells the bank's customers only CDs and other bank securities that are
FDIC-insured
IV. a person that is registered as a broker-dealer with the SEC that also provides investment advice to its
customers for additional compensation

A. II and III only
B. I and III only
C. I, II, III, and IV
D. I, II, and III only

Solutions: