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FINRA Series6 Exam Syllabus Topics:

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

Question 1

The board of directors of a mutual fund is responsible for:
I. authorizing purchases and sales of securities made by the fund.
II. approving the fund's contract with its investment adviser.
III. ensuring that the fund complies with federal securities laws regarding such issues as 12b-1 fees.
IV. establishing the fund's dividend and capital gains policy.

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

Question 2

In 2004, your Uncle Oscar purchased 300 shares of Hasbro, Inc. for $19 a share. Uncle Oscar died earlier
year and left his Hasbro stock to you. The stock was selling for $44 on the day he died, but by the time
you learned that you were the beneficiary of the stock, the price was $47. A month later, you notice that
the stock is selling for $55 and decide to sell it. What is the tax consequence of this sale to you?

A. None of the above is the correct tax consequence of this sale.
B. $10,800, taxed as long-term capital gain income
C. $2,400 taxed as short-term capital gain income
D. $3,300, taxed as long-term capital gain income

Question 3

1 2b-1 fees refer to:

A. the management fees of a mutual fund.
B. fees that some mutual funds charge to pay for certain of its marketing expenses.
C. the front-end or back-end load that a mutual fund charges.
D. fees that mutual funds pay the broker-dealers that execute their trades.

Question 4

Which of the following securities is not exempt from registration requirements?

A. a new issue of stock issued by a corporation that already has shares of its stock trading on the NYSE
B. a bond issued by the U.S. post office
C. private-placement variable universal life insurance
D. a revenue bond issued by the state of Florida to raise money to build an airport

Question 5

Under the rules of ERISA, all private-employer sponsored retirement plans must:

A. provide a specific vesting schedule under which all participants in the plan will become 100% vested
after having been in the firm's employ for seven or fewer years.
B. exclude anyone who has not been employed with the firm for at least five years.
C. allow any employee to participate in the retirement plan as long as the employee is at least 21 years
old.
D. be defined contribution plans.

Solutions: