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FINRA Series6 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 10% | - Order entry and processing procedures - Payment and settlement processes - Error resolution and correction procedures - Trade confirmations and account statements |
| Topic 2: Seeks Business for the Broker-dealer from Customers and Potential Customers | 24% | - Advertising and sales literature regulations - Communications with the public and regulatory rules - Telemarketing and solicitation rules - Prospecting and identifying customer needs |
| Topic 3: Provides Customers with Information About Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records | 50% | - Retirement plans and 529 savings plans - Recordkeeping and disclosure requirements - Suitability rules and recommendations - Variable contracts: variable annuities, variable life insurance - Product features, risks, costs, and tax considerations - Investment company products: mutual funds, UITs, closed-end funds |
| Topic 4: Opens Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 16% | - Financial profile and investment objectives assessment - Anti-money laundering (AML) and compliance - Customer identification and verification - Account types and registration |
FINRA Investment Company and Variable Contracts Products Representative Examination (IR) Sample Questions:
On Monday, August 2nd, the Board of Directors of Baldor Electric (BEZ) announced that the firm would
pay a dividend of $0.17 a share. Payment will be made on Friday, October 8th to shareholders of record
as of Friday, September 17th.In order to receive this dividend check, an investor would have to purchase
shares of Baldor Electric before which day?
- A. Monday, August 2nd.
- B. Friday, October 8th.
- C. Wednesday, September 15th.
- D. Friday, September 17th.
Correct Answer: C 🗳️
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Jill worked as a registered representative with GoForBroke Broker-Dealers for 8 years. She is married to
Jack, whose job made it necessary for them to relocate to Thailand for 3 years. They have now returned,
and Jill would like to begin working as a registered representative with GoForBroke again after her 3-year
hiatus. Given this scenario:
- A. Both A and C are true statements.
- B. Jill can begin working in her previous position with GoForBroke immediately, but GoForBroke will have
to register her as one of its representatives with FINRA within 30 days of her hire date, and Jill will have to
pay the applicable filing fees within that same period of time. - C. As long as GoForBroke maintained Jill as a registered representative for its firm during her hiatus, Jill
can begin working in her previous position immediately. There is no need to file additional paperwork or
pay any fees to FINRA. - D. Jill will have to retake the qualifying FINRA exams for her position, and after she has done so
successfully, GoForBroke must register her with FINRA as one of its representatives.
Correct Answer: D 🗳️
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Which of the following securities always sell at a discount from their face values?
I. Treasury bills
II. Treasury notes
III. industrial revenue bonds
IV. bankers acceptances
- A. I only
- B. I and II only
- C. I and IV only
- D. II and III only
Correct Answer: C 🗳️
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When a client purchases a variable contract through you, he should be informed that his money will be
invested:
- A. in a product with a guaranteed cash value.
- B. at the most recent price for which the contract sold.
- C. at the previous day's close price for the contract.
- D. at the next price that is computed after the contract application is accepted by the insurance company.
Correct Answer: D 🗳️
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Which of the following would be required to register as an investment company?
I. a non-diversified management company
II. a unit investment trust
III. a face-amount certificate company
- A. I and II only
- B. II only
- C. I, II, and III
- D. II and III only
Correct Answer: C 🗳️
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