FINRA FINRA Certification Series6

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

1. Which of the following persons would not fall under the definition of "investment adviser," under federal
guidelines?

A) None of the above would fall under the definition of "investment adviser," as defined by the Investment
Advisers Act of 1940.
B) an individual who works as an agent for a broker and occasionally gives investment advice to clients
who request it, but receives no additional compensation for doing so
C) an individual who advises only Oprah Winfrey on her investment portfolio and receives a nice salary for
doing so
D) a Denver-based, broker-dealer that is registered as a broker-dealer with the SEC and provides
investment advice to members of the Denver Broncos, the Colorado Rockies, the Denver Nuggets, and
the Colorado Avalanche organizations in exchange for box seats at their games. No monetary
compensation is expected or given.

2. The premiums paid on which of the following are paid into the general account of an insurance company?
I. whole life
II. universal life
III. term life
IV. variable life

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

3. You have a young client whose primary investment objective is to be able to retire early. Really early.
She's thinking 40.She has more than sufficient income to meet her current needs for cash. Which of the
following types of stock funds would be most suitable for her?

A) growth
B) balanced
C) value
D) All of the above. All stock funds invest in stocks, which can be expected to appreciate in value.

4. Which of the following activities are prohibited by FINRA when a representative is selling shares of a
mutual fund?
I. recommending that a client purchase shares of a mutual fund prior to its ex-dividend date, so that the
client will receive the dividends when they are distributed unless this recommendation is justified by the
specific circumstances of the client
II. telling a client that a mutual fund that has only a contingent deferred sales charge is a no load fund
III. telling a client that the interest he earns on a municipal bond fund will be free from federal taxation
IV. refraining from placing the customer's order promptly in order to profit himself as a result of having
done so

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

5. Which of the following statements about the over-the-counter market is true?

A) Stocks that are listed on exchange floors are also traded in the over-the-counter market.
B) Trades in the over-the-counter market are conducted via the auction process.
C) Only penny stocks are traded in the over-the-counter market.
D) Only bonds and other debt instruments are traded in the over-the-counter market.

Solutions: