FINRA Series6

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

1. Mr. Donald is the owner and CEO of Just Ducky Broker-Dealers. His wife, Ms. Daisy handles all the
ministerial duties for the firm. The firm has three other employees. Huey is the municipal bond specialist
and handles client trades in municipal securities only; Dewey handles only mutual fund sales for clients;
Louie handles all aspects of client trading in stocks, corporate bonds, and options. Which of the following
statements regarding the minimum FINRA registration requirements for these individuals is true?

A) Mr. Donald and Ms. Daisy must be registered as principals, and the other three must be registered as
general securities representatives under FINRA rules.
B) Mr. Donald, Ms. Daisy, Dewey and Louie must be registered as general securities representatives, and
Huey must be registered as a limited securities representative under FINRA rules.
C) Mr. Donald, Huey, Dewey and Louie must all be registered as general securities representatives in
accordance with FINRA rules.
D) Under FINRA rules, Mr. Donald must register as a principal, Dewey must be registered as a limited
securities representative, and Louie must be registered as a general securities representative. Daisy and
Huey need not be registered.

2. Which of the following plans does not have the requirement that its participants must begin withdrawing
funds from the plan by April 1st of the year after they turn 70 1/2 ?
I. SIMPLE IRA
II. 401(k)
III. Roth IRA
IV. profit-sharing plan

A) III only
B) All of the above have a mandatory distribution requirement.
C) I, III and IV only
D) I and III only

3. Which of the following statements regarding a letter of intent is true?

A) An investor who signs a letter of intent and does not invest the amount stipulated must make up the
difference between the sales charge he paid and what he should have paid, plus interest.
B) An investor has 12 months in which to invest the amount stipulated in the letter.
C) A letter of intent may be backdated up to 90 days so that any purchases made during that prior time
period will count toward making a breakpoint.
D) Reinvested dividends and capital gain distributions count toward the amount stipulated in the letter of
intent.

4. Which of the following correctly describes how the holding period of a security is calculated when
determining whether its sale will result in a short-term or a long-term capital gain?

A) The holding period begins on the settlement day of the purchase and ends on the settlement day
associated with the sale.
B) The holding period begins on the settlement day of the purchase and ends on the day the sell order is
submitted.
C) The holding period begins on the settlement day of the purchase and ends on the day the sell order is
submitted.
D) The holding period begins the day after the buy order is submitted and ends the day the sell order is
submitted.

5. Mr. Bashful, Mr. Sleepy, Mr. Doc, Mr. Grumpy, Mr. Sneezy, and Mr. Happy are all employees of S. White
Investment Advisers. Mr. Doc, Mr. Sneezy, and Mr. Happy give investment advice to the firm's clients and
manage their portfolios. Mr. Sleepy greets clients and makes cold calls to solicit more business for the
firm. Mr. Bashful performs general clerical services, such as filing. Mr. Grumpy is the office manager and
is the direct supervisor of the other five employees. Which of S. White's employees must register as
investment adviser representatives under the Investment Advisers Act of 1940?

A) All of them must register as investment adviser representatives.
B) Mr. Grumpy, Mr. Doc, Mr. Sneezy, and Mr. Happy
C) only Mr. Grumpy
D) Mr. Grumpy, Mr. Doc, Mr. Sneezy, Mr. Happy, and Mr. Sleepy

Solutions: