FINRA Investment Company and Variable Contracts Products Representative Examination (IR) - Series6

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FINRA Series6 Exam Syllabus Topics:

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

Question 1

Which of the following persons would not fall under the definition of "investment adviser," under federal
guidelines?

A. an individual who works as an agent for a broker and occasionally gives investment advice to clients
who request it, but receives no additional compensation for doing so
B. an individual who advises only Oprah Winfrey on her investment portfolio and receives a nice salary for
doing so
C. a Denver-based, broker-dealer that is registered as a broker-dealer with the SEC and provides
investment advice to members of the Denver Broncos, the Colorado Rockies, the Denver Nuggets, and
the Colorado Avalanche organizations in exchange for box seats at their games. No monetary
compensation is expected or given.
D. None of the above would fall under the definition of "investment adviser," as defined by the Investment
Advisers Act of 1940.

Question 2

The entity through whom investors buy and redeem mutual fund shares is the fund's:

A. custodian.
B. investment adviser.
C. transfer agent.
D. principal underwriter.

Question 3

A person's discretionary income is:

A. his income after tax.
B. the income that he has left to spend or save after having paid taxes on the income and for all of the
necessities, e.g., housing, food, clothing, transportation, utilities, etc.
C. the amount that can be allocated to speculative investments.
D. the amount of his income that is needed to pay his regular monthly bills, e.g., rent, food, gasoline,
utilities, health insurance, etc.

Question 4

A FINRA member who is a principal underwriter under the definition provided in the Investment Company
Act of 1940 is permitted to sell variable contracts through another broker-dealer only if:
I. the broker-dealer is also a FINRA member.
II. there is a sales agreement in effect between the underwriter and the broker-dealer.
III. the broker-dealer is also a principal underwriter as defined by the Investment Company Act of 1940.

A. all three statements-I, II, and III-are true.
B. both I and II are true.
C. any one of the three statements-I, II, or III-are true.
D. either I or II is true.

Question 5

Ms. Scatty is a registered representative with a well-known family of mutual funds. When selling one of
the funds, she forgets to give her buyer a prospectus. Which of the following statements is true?

A. Ms. Scatty can be held criminally liable under the Securities Act of 1933.
B. Both A and B are true statements.
C. Since mutual funds are not covered under the Securities Act of 1933, there is no liability in this
instance.
D. Ms. Scatty can be held civilly liable under the Securities Act of 1933.

Solutions: