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

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

1. An advertisement that provides performance data for which of the following mutual funds would not need
to include a statement warning that the principal value of the investment will fluctuate such that the
investor's shares may be worth either more or less when redeemed than what the investor originally paid
for them?

A) Neither choices A nor B would need to include the stated warning.
B) a municipal bond fund
C) a U.S. government bond fund
D) a money market fund

2. After having been divorced for several years, Mrs. Blended has remarried a man with three children of his
own. She has set up a revocable trust in which she deposited funds that she inherited when her mother
died, so that the monies will go uncontested to her two biological children in the event of her own death.
These two adult children are the only beneficiaries of the trust. Mrs. Blended has no plans to touch any of
the money in the trust unless circumstances demand it in the future. The trust is invested in a mutual fund
that paid $500 in dividend income and distributed $3,000 in long-term capital gain income to the trust this
year. Which of the following statements is true regarding the tax treatment of these distributions?

A) Mrs. Blended must pay taxes on the $3,500 in distributions.
B) The distributions will not be taxed at this point; they will be taxed as part of the estate upon Mrs.
Blended's death.
C) The distributions will not be taxed at this point; they will be taxed only when Mrs. Blended or her
beneficiaries make withdrawals from the trust.
D) Assuming her two adult children are equal beneficiaries, each one is responsible for paying tax on 50%
of the income to the trust, or $1,750.

3. Ari Gaunt was affiliated with Savvy Investments and was terminated after some of the female
representatives associated with Savvy filed sexual harassment complaints against him. Mr. Gaunt
believes that he is still due money for some transactions he executed prior to his termination; Savvy
believes otherwise. Under FINRA's Code of Arbitration:

A) Ari may either sue Savvy in a civil court of law or submit his claim to arbitration.
B) if Ari submits his claim for arbitration and is unhappy with the panel's decision, he can then sue Savvy
in a civil court of law.
C) Ari has six years to submit his claim to arbitration.
D) both B and C are true statements.

4. Total Investments, a family of mutual funds, has prepared some new PowerPoint slides that it will use at a
free financial planning seminar it offers to the general public. The new slides:
I. must be signed and dated by a registered principal of Total Investments.
II. must be filed with FINRA 10 business days prior to their first use.
III. must be kept in a separate file by Total for three years after the date of their first use.

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

5. The mortality guarantee of a variable annuity contract:

A) guarantees a fixed death benefit amount will paid to your beneficiaries upon your death.
B) guarantees that you can receive a monthly check of a specified amount as long as you live.
C) None of the above is a true statement about the mortality guarantee of a variable annuity contract.
D) guarantees that both you and a person you specify as your beneficiary will continue to receive
payments as long as one of the two of you is alive.

Solutions: