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FINRA Series6 Exam Syllabus Topics:

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

1. Matt is a registered representative with Fine, Howard, Fine and Associates. Tom, an old fraternity brother,
is one of his clients. Business has been bad, and Matt is going to have difficulties making this month's
mortgage payment. Tom was commiserating with him when the two hooked up to have a couple of beers
together and offered to lend Matt some money to see him through the rough times. Based on these facts:

A) Matt must refuse Tom's offer since Tom is one of his clients.
B) Matt can accept Tom's offer, but only after obtaining pre-approval from Fine, Howard, Fine.
C) Matt can accept the offer as long as Tom will not need to sell any investments to lend Matt the money.
This would constitute a conflict of interest.
D) Matt can accept the offer without having to obtain pre-approval from his employer since he and Tom
are former fraternity brothers and their friendship pre-dates their agent/client relationship.

2. Mr. and Mrs. R. Retired are planning on traveling extensively throughout the U.S. in their new motor home
now that they have reached their golden years. Under FINRA rules, upon written instructions from Mr. and
Mrs. R. Retired, their broker is required to hold their mail for a maximum of:

A) 2 months.
B) 3 months.
C) none of the above. It is Mr. and Mrs. Retired's responsibility to establish a mail-hold through the post
office.
D) 1 month.

3. The Howey Decision did what?

A) provided for fixed annuities to be excluded from the definition of a security.
B) 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.
C) 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.
D) stipulated that all general partnerships were investment contracts and, therefore, securities, as defined
by the Securities Exchange Act of 1934.

4. A passive asset allocation strategy that involves establishing specific targeted percentages for the various
asset classes and rebalancing only as necessary to maintain those percentages as long as the investor's
investment objectives remain unchanged is called:

A) interactive asset allocation.
B) strategic asset allocation.
C) dynamic asset allocation.
D) tactical asset allocation.

5. Tex Payor purchased his shares of Invest4U Mutual Fund 30 days prior to its ex-dividend date. In order
for any dividends he receives from the fund to be qualified, Tex cannot sell his shares until:

A) six months after the settlement date of his purchase.
B) one day after the fund's ex-dividend date.
C) thirty-one days after the fund's ex-dividend date.
D) twelve months after the settlement date of his purchase.

Solutions: