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FINRA Series6 Exam Syllabus Topics:

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

1. GoForBroke Broker-Dealers has distributed a list of ten mutual funds that it suggests are top-notch funds
worthy of recommendation by GoForBroke's agents. Coincidentally, all the funds on this list also happen
to be those that execute the majority of their trades through GoForBroke. Is GoForBroke in violation of
any FINRA rules?

A) No. As long as the list consists of more than five funds, GoForBroke has not violated any FINRA rules.
B) Yes. By distributing a list naming specific funds that coincidentally all happen to execute a lot of trades
through GoForBroke, the broker-dealer is violating FINRA's anti-reciprocal rule.
C) No. GoForBroke only distributed a list of fund names; it did not offer its agents any form of additional
compensation for selling the funds on that list.
D) Yes. GoForBroke is prohibited from selling shares of mutual funds that execute their trades through the
broker-dealer. This rule is in place to avoid conflicts of interest.

2. Commercial paper is:

A) short-term debt that is backed by stocks and bonds that the issuing firm owns.
B) long-term debt issued by commercial banks.
C) issued with maturities of 1 to 2 years.
D) short-term, unsecured debt issued by large corporations.

3. Ken has a variable life policy and recently learned that he can borrow against its cash value to help pay
for some of the expenses he's incurring while pursuing a graduate degree. Which of the following
statements about the loan he can get is true?

A) Since Ken is essentially borrowing his own money, the loan is interest-free.
B) Ken never has to repay the loan, but if he chooses not to do so, his wife, Barbie, won't get as much
when he dies.
C) Ken can borrow at most only 50% of the cash value, and only as long as he's had the policy for at least
three years.
D) Ken has been misinformed. He cannot borrow against the cash value of a variable life policy because
the cash values of these policies fluctuate constantly.

4. Which of the following is not one of the rules stipulated by the Securities Exchange Act of 1934?

A) All securities' exchanges and SROs are required to register with the SEC.
B) All brokers and dealers are required to be members of a national securities association.
C) Firms are required to send copies of their annual reports to investors before an annual meeting at
which directors are to be elected.
D) Investment companies are prohibited from using any sales literature that contains an omission of a
material fact.

5. The totalof a mutual fund's front-end load, rear-end load, and 12b-1 fees may not exceed:

A) 10.0%.of the fund's net asset value.
B) 10.0% of the fund's offer price.
C) 8.5% of the fund's offer price.
D) 8.5% of the average annual net assets of the fund.

Solutions: