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

1. Which of the following persons is not permitted to open an investment account?
I. a general partnership
II. a corporation
III. the executor of an estate
IV. a 16-year-old entrepreneur

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

2. When the U.S. dollar appreciates relative to other world currencies,
I. the prices of all domestic stocks and bonds can be expected to increase.
II. the prices of securities offered by manufacturers that import a lot of their parts can be expected to
increase.
III. an increase in the purchase of U.S. securities by foreign investors can be expected.

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

3. Ms. Newbie's client, Mr. Nomad, has decided that he wants to go on an extended backpack trip through
the Amazon. Since he'll be out of touch, he has given a friend of his limited power attorney to act on his
behalf. Based on this, Mr. Nomad's friend can:
I. present Ms. Newbie with an order to purchase securities on Mr. Nomad's behalf.
II. present Ms. Newbie with an order to sell securities on Mr. Nomad's behalf.
III. request a check be issued to him so that he can send Mr. Nomad some money.

A) I only
B) I and II only
C) none of the above. Only a relative can hold a power of attorney to engage in financial transactions for
the grantor.
D) I, II, and III

4. 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.
Subsequently, InTheLoop Brokerage is tapped to be part of the selling group that will handle the sale of
the new stock to the public. In this example, the issuer is:

A) HiGrow Corporation
B) InTheLoop Brokerage
C) BigFee Investment Banker
D) Mr. Big

5. 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, and IV only
C) I, II, III, and IV
D) II and IV only

Solutions: