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Updated: Jul 21, 2026
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FINRA Series6 Exam Overview:
| Certification Vendor: | FINRA (Financial Industry Regulatory Authority) |
| Exam Name: | Investment Company and Variable Contracts Products Representative Examination (IR) |
| Exam Number: | Series 6 |
| Passing Score: | 70% |
| Exam Price: | USD 100 |
| Exam Duration: | 90 minutes |
| Exam Format: | Multiple choice |
| Available Languages: | English |
| Real Exam Qty: | 50 |
| Related Certifications: | Securities Industry Essentials (SIE) Exam Series 63 (Uniform Securities Agent State Law Exam) |
| Sample Questions: | FINRA Series6 Sample Questions |
| Exam Way: | Computer-based testing at Prometric centers or via approved remote delivery |
| Pre Condition: | Must be associated with and sponsored by a FINRA member firm or other applicable self-regulatory organization member; passing SIE exam required |
| Official Syllabus URL: | https://www.finra.org/registration-exams-ce/qualification-exams/series6 |
FINRA Series6 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Provides Customers with Information About Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records | 50% | - Product information, suitability, recordkeeping and transfers |
| Topic 2: Opens Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 16% | - Account opening procedures and financial profile evaluation |
| Topic 3: Seeks Business for the Broker-Dealer from Customers and Potential Customers | 24% | - Topics in communications, marketing, and solicitation activities |
| Topic 4: Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 10% | - Transaction processing and verification |
FINRA Investment Company and Variable Contracts Products Representative Examination (IR) Sample Questions:
1. A passive asset allocation strategy that involves establishing specific targeted percentages for the various
asset classes and rebalancing only as necessary to maintain those percentages as long as the investor's
investment objectives remain unchanged is called:
A) strategic asset allocation.
B) dynamic asset allocation.
C) tactical asset allocation.
D) interactive asset allocation.
2. Tex Payor bought shares of the Stocks4U Mutual Fund on February 26th.During the year, the fund sold
some of the stocks in which it was invested, generating long-term capital gain income for the fund. Tex
received a distribution of some of these gains at the end of the year, based on his proportionate
ownership of the fund. Which of the following statements is true regarding the tax consequences of this
distribution to Tex?
A) Tex will have to pay tax on the distribution at his marginal tax rate. Since Tex had not been invested in
the fund for over 12 months when the distribution occurred, it is considered to be short-term capital gain
income for him, which is taxed as ordinary income.
B) There are no tax consequences to Tex. Mutual fund investors are taxed only on dividend distributions
and on capital gains realized when they sell shares of a fund that they own. Capital gains earned by the
fund when securities are bought and sold by the fund's manager are taxed to the fund.
C) Tex will have to pay tax on the distribution at the tax rate for long-term capital gains, which are currently
taxed preferentially.
D) Tex will have to pay tax on the distribution unless he opts to reinvest the distribution in the fund, in
which case the income will not be taxable.
3. Which of the following established the requirement that insiders report their trading activities to the SEC?
A) Regulation D
B) the Securities Exchange Act of 1934
C) Regulation I-N
D) the Securities Act of 1933
4. The premiums paid on which of the following are paid into the general account of an insurance company?
I. whole life
II. universal life
III. term life
IV. variable life
A) I only
B) I and III only
C) I, II, III, and IV
D) I, II, and III only
5. Which of the following persons is not permitted to open an investment account?
I. a general partnership
II. a corporation
III. the executor of an estate
IV. a 16-year-old entrepreneur
A) I and II only
B) IV only
C) I, II, and III only
D) I, II, and IV only
Solutions:
| Question # 1 Answer: A | Question # 2 Answer: C | Question # 3 Answer: B | Question # 4 Answer: D | Question # 5 Answer: B |
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