FINRA Series6

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

1. Mr. Shortfall placed a market order to buy 100 shares of Google (GOOG) with GetErDone Broker-Dealers.
The market order was executed at $530 a share. In accordance with Regulation T:

A) Mr. Shortfall must pay for the purchased shares within 5 business days.
B) Mr. Shortfall must pay for the purchased shares within 3 business days.
C) Both B and C are true statements.
D) GetErDone can request an extension from FINRA or another SRO for Mr. Shortfall if he is unable to
pay for the shares within 5 business days.

2. Which of the following would not have to register as an investment adviser or an investment adviser
representative under the Investment Advisers Act of 1940?
I. an insurance agent who sells only whole life and term life policies
II. a commodity futures broker
III. a bank employee who sells the bank's customers only CDs and other bank securities that are
FDIC-insured
IV. a person that is registered as a broker-dealer with the SEC that also provides investment advice to its
customers for additional compensation

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

3. Which of the following would not be required to display prominently the name of the member firm issuing
it?
I. sales literature distributed to an institutional investor
II. correspondence by a registered representative with her client
III. an advertisement to recruit new registered representatives

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

4. A preemptive right:

A) is a feature on some preferred stock issues that allows the preferred shareholders to exchange their
preferred shares for shares of the common stock of the firm.
B) gives a bond owner the option to sell the bond back to the issuer at a pre-specified price.
C) is a call option that is usually attached to a bond as a sweetener.
D) entitles its owner to buy shares of stock at a specified price within a specified time period in order to
maintain his proportionate ownership in the firm.

5. Ms. Newbie, a registered representative employed by Savvy Investments, has received a letter of
complaint from a client that Ms. Newbie believes is unfair and illegitimate. More specifically, she believes
that the complaint misstates the facts. Under these circumstances, Ms. Newbie:

A) must provide a copy of the complaint to Savvy Investments, who is required to respond to the
complaint in writing and to keep a record of it.
B) must provide a copy of the complaint to Savvy Investments, who can decide whether or not to ignore
the letter after hearing Ms. Newbie's side of the story.
C) must respond to the complaint in writing.
D) can toss the complaint in the trash.

Solutions: