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FINRA Series6 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Provides Customers with Information About Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records | 50% | - Product information, suitability, recordkeeping and transfers |
| Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 10% | - Transaction processing and verification |
| Seeks Business for the Broker-Dealer from Customers and Potential Customers | 24% | - Topics in communications, marketing, and solicitation activities |
| Opens Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 16% | - Account opening procedures and financial profile evaluation |
FINRA Investment Company and Variable Contracts Products Representative Examination (IR) Sample Questions:
Tex Payor is an investor in the Invest4U Mutual Fund. The manager of the fund, fearing a substantial
decline in the stock market, sold a lot of the fund's holdings to lock in profits. As a result, the fund earned a
lot of long-term capital gain income. Which of the following statements is true regarding the tax treatment
of this income?
- A. Tex must pay taxes on his proportionate share of the long-term capital gain income earned by Invest4U,
whether distributed or not. - B. Tex must pay taxes only on dividend income distributed by Invest4U.The mutual fund itself pays tax on
any capital gains it earns. - C. None of the above is a true statement.
- D. Tex must pay taxes on that portion of the long-term capital gain income that Invest4U distributes to
him.
Explanation: Only visible for Prep4away members. You can sign-up / login (it's free).
Which of the following would offer an investor the most protection against purchasing power risk?
- A. a money market fund
- B. a stock mutual fund
- C. a high-yield bond fund
- D. a government bond fund
Explanation: Only visible for Prep4away members. You can sign-up / login (it's free).
The essential difference between a 401(k) plan and a 403(b) plan is that:
- A. the 403(b) plan is for small businesses while the 401(k) plan is for large corporations.
- B. contributions to 403(b) plans are always tax deductible, which is not the case with 401(k) plan
contributions. - C. the 403(b) plan is for employees of specific non-profit organizations whereas the 401(k) plan is for the
employees of private corporations. - D. only employers can contribute to 403(b) plans while both employers and employees can contribute to
4 01(k) plans.
Explanation: Only visible for Prep4away members. You can sign-up / login (it's free).
Mr. R. Retired recently turned 61 and has decided to annuitize a variable annuity contract in which he had
been investing. When he does so:
- A. Both B and C are true statements.
- B. the value of his annuity units becomes fixed.
- C. his accumulation units will be converted into a fixed number of annuity units.
- D. he will have to pay a 10% penalty for annuitizing the contract before he turned 62 1/2 .
Explanation: Only visible for Prep4away members. You can sign-up / login (it's free).
Sam's neighbor has just inherited some bonds from his uncle. The neighbor, knowing that Sam is a
registered representative with a brokerage firm, asks Sam if he would like to handle the sale of these
securities. Sam agrees to do so and calls his existing clients with an offer to sell the bonds at a price that
he researches to be the average "ask" price of dealers in the same bonds. In this situation:
- A. Sam has engaged in no illegal practices since he is licensed to sell bonds and is doing so at an
established "ask" price. Sam is a good neighbor. - B. Sam has engaged in the illegal practice of "selling away."
- C. Sam has engaged in no illegal practices as long as he markets the bonds only to existing clients. This
is referred to as a private placement. - D. Sam has engaged in the illegal practice of "front running."
Explanation: Only visible for Prep4away members. You can sign-up / login (it's free).
