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FINRA Series6 Exam Syllabus Topics:

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

Question 1

A face-amount certificate company:

A. sells its debt, which is backed by the assets owned by the company, to its investors.
B. is an investment company that has management fees.
C. is a company that invests primarily in bonds that sell at either par value or a premium.
D. is all of the above.

Question 2

Ms. Newbie, a registered representative employed by Savvy Investments, has received a letter of
complaint from a client that Ms. Newbie believes is unfair and illegitimate. More specifically, she believes
that the complaint misstates the facts. Under these circumstances, Ms. Newbie:

A. must provide a copy of the complaint to Savvy Investments, who can decide whether or not to ignore
the letter after hearing Ms. Newbie's side of the story.
B. must provide a copy of the complaint to Savvy Investments, who is required to respond to the
complaint in writing and to keep a record of it.
C. must respond to the complaint in writing.
D. can toss the complaint in the trash.

Question 3

Which of the following represents a secondary market transaction?

A. A home buyer obtains a mortgage through his savings and loan.
B. An investor buys Treasury bills in the regular Monday auction.
C. An investor sells her shares of Sunvalley Solar, Inc. (SSOL), which sells on the OTC Bulletin Board for
$ 0.059 a share.
D. An investor buys 300 shares of Electromed (ELMD) at its IPO offer price of $4.00 a share.

Question 4

Which of the following is not a cost associated with an investment in a variable annuity contract?

A. All of the above are costs associated with an investment in a variable annuity contract.
B. state premium tax
C. mortality and expense risk fee
D. investment management fee

Question 5

Under the Investment Company Act of 1940, an investment company must:

A. have a board of directors composed of no more than 50% who are "interested persons."
B. maintain a minimum net worth of $5 million.
C. include a statement of its investment policy in its prospectus.
D. provide a prospective investor with a copy of its registration statement when offering shares for sale.

Solutions: