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FINRA Series6 Exam Syllabus Topics:

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

1. Lana is registered as a limited representative and is employed by Everything Investments. Her duties
include selling mutual funds and variable contracts products to the firm's clients. She has been
particularly successful in selling variable contracts offered by OneLife insurance company. As a "thank
you" for her hard work, OneLife has offered her a ticket to an upcoming play at a local dinner theatre.
Given this scenario, which of the following statements applies?

A) Lana will have to pass on the offer. She is permitted to receive only cash compensation in an amount
not to exceed $100 from an entity other than Everything, and then only with Everything's approval.
B) Lana can accept the offer as long as Everything agrees to it and as long as it is not an ongoing thing
and/or preconditioned on her achieving a specified sales target.
C) Lana will have to pass on the offer. Lana is prohibited from receiving compensation from anyone other
than Everything Investments.
D) Lana can accept the offer without Everything's approval in this instance since the offer does not involve
cash.

2. Mr. B. Beard started making regular investments in a mutual fund with the goal of financing a five-year
circumnavigation on his 40-foot sailboat, "Pirate's Lady." He is getting ready to depart and wants to set up
an automatic withdrawal plan such that the money he has invested will see him through his
circumnavigation, with nothing remaining in the account at the end. Which of the systematic withdrawal
plans will best fit his needs?

A) fixed-time plan
B) fixed-dollar plan
C) fixed-share plan
D) fixed-percentage plan

3. 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.

4. Which of the following do not fall under the category of "advertisement," as defined by FINRA?
I. scripts used in telemarketing the products of the member firm
II. a website maintained by the member firm
III. research reports that the member firm distributes to both its existing clients and its prospective clients
IV. sales material that a member firm distributes only to its institutional clients

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

5. After three warnings, Honest Broker-Dealer was forced to terminate Sly Conman, one of its
representatives, for making inaccurate statements when offering its mutual fund products to customers.
After his registration is terminated:

A) Mr. Conman can apply for reinstatement of his license after 6 months, but will have to pay any
applicable fees and retake a test.
B) Mr. Conman can apply for reinstatement of his license after 12 months.
C) Mr. Conman remains under the jurisdiction of FINRA for a period of 1 year.
D) Mr. Conman remains under the jurisdiction of FINRA for a period of 2 years.

Solutions: