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

1. Joe Cool is a member of the All Greek Fraternity. A few of the alumni of his fraternity sat for the FINRA
Series 6 exam over the past couple of years and, using their cell phones, took pictures of the exam
questions. They forwarded these to their fraternity to be included in the test bank file the fraternity keeps
in its study room. Have there been any violations of FINRA/NASD rules in this instance?

A) Yes. It is a violation of Rule 2110 for an exam-past or present-to be reproduced and distributed for
study purposes.
B) No. It is standard practice for sororities and fraternities to compile test banks of old exams, and since
the forwarded tests are not copies of an actual future exam that will be administered, there has been no
violation of any rules.
C) No. Rule 2110 only prohibits the reproduction and distribution of a previously administere d FINRA
exam for study purposes if the exams are being sold. As long as there is no compensation involved, a
violation has not been committed.
D) Both A and C are true statements.

2. You have a client, Richie Rich, who is in the 39.6% marginal tax bracket, and one of his investment goals
is to minimize his payments to the IRS. Which of the following instruments would serve this purpose?

A) general obligation bonds
B) U.S. Treasury bills
C) Both Selections A and B would serve to minimize his payments to the IRS.
D) an investment-grade corporate bond

3. Which of the following bonds would not be considered investment grade?

A) a debenture with an A rating.
B) a corporate bond with a BBB rating.
C) a general obligation bond with an AA rating.
D) a municipal bond with a BB rating.

4. The Invest4U Mutual Fund is a regulated investment company under Internal Revenue Code Subchapter
M. This means that:

A) Invest4U is a non-diversified management company.
B) Invest4U must submit an annually-updated prospectus to the IRS as well as to the SEC.
C) Invest4U is a UIT.
D) Invest4U does not itself have to pay taxes on any dividend or capital gain income it receives and
distributes to its shareholders.

5. Which of the following statements regarding a Coverdell Education Savings Plan (ESA) are true?
I. There are income limitations regarding those who may contribute to an ESA.
II. There is a maximum annual aggregate amount that can be contributed to a single beneficiary's
account.
III. Contributions to an ESA are tax deductible.
IV. The monies must be used prior to the beneficiary's 30th birthday for education-related expenses in
order to avoid paying both taxes and a penalty.

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

Solutions: