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FINRA Series6 Exam Syllabus Topics:

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

1. Which of the following correctly describes a difference between closed-end and open-end investment
companies?

A) Open-end investment company shares will never be offered at a price below the net asset value per
share of the fund; this is not true of closed-end companies.
B) Open-end investment companies have a fixed number of shares; closed-end companies can create
new shares if there are more buyers than sellers.
C) Open-end companies may invest in non-diversified portfolios; closed-end companies are required to
invest only in diversified portfolios.
D) Shares of open-end companies sell on exchange floors; shares of closed-end companies are bought
and sold through the company itself.

2. Which of the following is a true statement about FINRA rules regarding material that Giant Investments
submits to its institutional investors?
I. FINRA requires that each member firm establish procedures for each institutional investor separately.
II. Procedures to be followed in distributing material to institutional investors must be in writing.
III. All institutional sales material must be submitted to a principal for approval prior to being used.
IV. Institutional sales material must be maintained by the member firm for at least three years from the
date of last use.

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

3. A brochure advertising the Stocks4U Mutual Fund contains an example illustrating how much an investor
who had invested $10,000 with the fund ten years ago would have in his account today, using the fund's
historical return data, to illustrate the principle of compound interest. An example of this nature:

A) may be used as long as there is a clear statement that the illustration in no way predicts or projects
what an investor who invests $10,000 today would have in his account in ten years.
B) may be used only if the fund is expecting to be able to duplicate these returns over the next decade.
C) is expressly in violation of FINRA rules.
D) may be used only if there actually was such an investor on record.

4. The Bank Secrecy Act (BSA) requires any financial institution to:
I. file a suspicious activity report (SAR) when a possible violation of a law is suspected.
II. inform its customer that it is filing the SAR.
III. provide any customer that is suspected of engaging in an illegal transaction the opportunity to explain
himself prior to filing an SAR.
IV. obtain specified information on any party sending or receiving a wire transfer of $3,000 or more.

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

5. The MaxCharge fund has a 5% front-end load and a 12b-1 fee that is 0.25% of its average net assets.
Under these conditions, any rear-end load it may have is limited to:

A) 4.75%.
B) 2.00%.
C) 3.25%.
D) 4.25%.

Solutions: