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

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

1. Mr. Cross wanders into your office with a $35,000 check that he has received from his recently-deceased
wife's insurance company and wants you to advise him how to invest it, since that is your job, as he puts it.
You ask him to fill out a standard investor profile questionnaire, but he refuses to do so. You offer to fill it
out for him, based on his answers to your verbal questions, but he still refuses and calls you a
"nibby-nose." Based on this, you can:

A) allocate the $35,000 any way you choose since you have an uncooperative client.
B) advise him to invest the money in an S&P 500 Index fund.
C) The advice provided in either Choice B or Choice C would be appropriate.
D) advise him to invest the money in a money market mutual fund instead of holding it as cash.

2. The MaxFee Mutual Fund has a front-end load of 8.5%. If its net asset value (NAV) per share is currently
$ 32, for what price can an investor buy shares of the fund?(Round your answer to the nearest cent.)

A) $34.97
B) $29.28
C) $34.72
D) $29.49

3. The Bank Secrecy Act (BSA) requires any financial institution to:
I. file a suspicious activity report (SAR) when a possible violation of a law is suspected.
II. inform its customer that it is filing the SAR.
III. provide any customer that is suspected of engaging in an illegal transaction the opportunity to explain
himself prior to filing an SAR.
IV. obtain specified information on any party sending or receiving a wire transfer of $3,000 or more.

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

4. Upon receiving a complaint about one of its member firms, FINRA may:
I. require any person associated with the member firm to provide information to FINRA and to testify under
oath.
II. inspect and copy the books, records and accounts of the member firm.
III. share information obtained from its investigation of a member firm with a foreign regulatory agency.

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

5. Mr. Big of HiGrow Corporation needs more money to support the exceptional growth rate that his firm is
enjoying. He meets with BigFee Investment Banker, who agrees to handle the IPO for HiGrow. As part of
the process, BigFee's staff works with HiGrow's accountants to prepare the registration statement that is
filed with the SEC. After the issue has been sold to the public, Mr. Sharp, a CPA who has invested in the
stock of HiGrow, discovers that there are some accounting irregularities in the financial statements
provided in HiGrow's prospectus. Who can be sued for the misleading statements?
I. Mr. Big
II. Big Fee Investment Banker
III. HiGrow's accountants
IV. HiGrow's attorneys

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

Solutions: