Exam Name: Investment Company and Variable Contracts Products Representative Examination (IR)
Certification Provider: FINRA
Corresponding Certification: FINRA Certification
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FINRA Series6 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Seeks Business for the Broker-Dealer from Customers and Potential Customers | 24% | - Topics in communications, marketing, and solicitation activities |
| Topic 2: Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 10% | - Transaction processing and verification |
| Topic 3: Opens Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 16% | - Account opening procedures and financial profile evaluation |
| Topic 4: Provides Customers with Information About Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records | 50% | - Product information, suitability, recordkeeping and transfers |
FINRA Investment Company and Variable Contracts Products Representative Examination (IR) Sample Questions:
The Howey Decision did what?
- A. defined an investment contract as any investment of money in a common enterprise with the
expectation of earning a profit from the efforts of others. - B. stipulated that all general partnerships were investment contracts and, therefore, securities, as defined
by the Securities Exchange Act of 1934. - C. provided for fixed annuities to be excluded from the definition of a security.
- D. determined that certificates of deposit issued by a bank and insured by the FDIC did not qualify as
securities, as defined by the Securities Exchange Act of 1934.
Correct Answer: A 🗳️
Explanation: Only visible for ExamPrepAway members. You can sign-up / login (it's free).
The compensation records that FINRA member firms are required to maintain must include which of the
following?
I. the names of the persons that have provided the compensation
II. names of the associated persons receiving the compensation
III. the amount of cash received
IV. the nature and value (if known) of any non-cash compensation received
- A. II and III only
- B. I, II, III, and IV
- C. I and III only
- D. II, III, and IV only
Correct Answer: B 🗳️
Explanation: Only visible for ExamPrepAway members. You can sign-up / login (it's free).
Nat Informed places a market order to buy 200 shares of Abercrombie & Fitch (ANF) on Thursday,
September 16th.When will Nat be required to pay for this Transaction?
- A. on Friday, September 17th.
- B. by the end of the trading on September 15th.
- C. on Tuesday, September 21st.
- D. on the next trading day, September 16th.
Correct Answer: C 🗳️
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Which of the following statements regarding profit-sharing plans is false?
- A. A profit-sharing plan must stipulate a minimum employer contribution that will be made, even in less
profitable years. - B. The withdrawals made by an employee from a profit-sharing plan are taxable as ordinary income.
- C. The employer can deduct contributions made to a profit-saving plan, within specific guidelines.
- D. Employees are not permitted to make contributions of their own to a profit-sharing plan.
Correct Answer: A 🗳️
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Ms. Newbie is a newly-minted registered representative. Mr. Oldman saunters into her office, becomes
infatuated with her, opens an account, and signs a document giving Ms. Newbie discretionary authority
over the account. Mr. Oldman is 68 years old, retired, lives on a fixed income, and pays taxes at the
lowest marginal tax rate available. His stated investment objectives are capital preservation and income.
Ms. Newbie invests 1/4 of his investment monies in a periodic-payment, deferred, variable annuity. Based
on these facts:
- A. Although Ms. Newbie's asset allocation for Mr. Oldman is less than optimal, she is in no danger of
losing her license or any other penalty, given that she has been given discretionary authority over the
account. - B. Ms. Newbie has a reasonable sexual harassment case against Mr. Oldman for putting her in such a
position. - C. Ms. Newbie may lose her license before she gets started in the business for making an unauthorized
transaction. - D. Ms. Newbie has done a remarkable job as a newly-minted representative of allocating at least a fourth
of Mr. Oldman's funds appropriately.
Correct Answer: C 🗳️
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