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

1. Mr. Bashful, Mr. Sleepy, Mr. Doc, Mr. Grumpy, Mr. Sneezy, and Mr. Happy are all employees of S. White
Investment Advisers. Mr. Doc, Mr. Sneezy, and Mr. Happy give investment advice to the firm's clients and
manage their portfolios. Mr. Sleepy greets clients and makes cold calls to solicit more business for the
firm. Mr. Bashful performs general clerical services, such as filing. Mr. Grumpy is the office manager and
is the direct supervisor of the other five employees. Which of S. White's employees must register as
investment adviser representatives under the Investment Advisers Act of 1940?

A) Mr. Grumpy, Mr. Doc, Mr. Sneezy, and Mr. Happy
B) Mr. Grumpy, Mr. Doc, Mr. Sneezy, Mr. Happy, and Mr. Sleepy
C) All of them must register as investment adviser representatives.
D) only Mr. Grumpy

2. Anna Vestor placed an order to sell 100 shares of Microsoft through the on-line site of her broker,
GetErDone Broker-Dealers. GetErDone sold her shares for $24.59 a share and charged her a
commission of $8.95.Among other things, the trade confirmation that Anna receives must stipulate:
I. the time and date of the transaction.
II. that GetErDone served as a principal in the transaction.
III. the number of shares sold and the price at which they were sold.
IV. the exchange or ECN on which the transaction was executed.

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

3. Tex Payor bought shares of the Stocks4U Mutual Fund on February 26th.During the year, the fund sold
some of the stocks in which it was invested, generating long-term capital gain income for the fund. Tex
received a distribution of some of these gains at the end of the year, based on his proportionate
ownership of the fund. Which of the following statements is true regarding the tax consequences of this
distribution to Tex?

A) Tex will have to pay tax on the distribution at the tax rate for long-term capital gains, which are currently
taxed preferentially.
B) There are no tax consequences to Tex. Mutual fund investors are taxed only on dividend distributions
and on capital gains realized when they sell shares of a fund that they own. Capital gains earned by the
fund when securities are bought and sold by the fund's manager are taxed to the fund.
C) Tex will have to pay tax on the distribution unless he opts to reinvest the distribution in the fund, in
which case the income will not be taxable.
D) Tex will have to pay tax on the distribution at his marginal tax rate. Since Tex had not been invested in
the fund for over 12 months when the distribution occurred, it is considered to be short-term capital gain
income for him, which is taxed as ordinary income.

4. Which of the following must be true for a fund to be called a "no load" fund?
I. The fund can have no front-end load.
II. The fund can have no contingent deferred sales charge.
III. The fund can charge no 12b-1 fees.
IV. The fund cannot charge investors an exchange fee.

A) I, II, III, and IV must all be true.
B) I, II, and III must all be true.
C) Only I must be true.
D) Only I and II must be true.

5. The dividends distributed by which of the following are taxed as ordinary income?

A) IBM
B) real estate investment trusts
C) mutual funds
D) closed-end investment companies

Solutions: