FINRA Series6

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

1. Ms. Ears is an investment adviser representative. During lunch today, she overheard two men talking
about a hostile takeover that their firm was preparing to undertake. Based on this information, Ms. Ears
does not hesitate to advise the client she meets with immediately after lunch-Mrs. Clueless-- to invest a
sum of money in the firm the men had named as the target firm. Ms. Ears remembers that the price of
target firms, on average, increases significantly with an announcement of this sort, but she does not
inform Mrs. Clueless of the reason underlying her recommendation. Has there been any violation of
insider trading laws in this scenario, as described?

A) No. Ms. Ears is not considered to be an insider of the company preparing the hostile takeover.
B) Yes. Both Ms. Ears and the two men have violated insider trading laws. The two men are prohibited
from discussing such private information in a public setting, and Ms. Ears is prohibited from making a
recommendation based on that information.
C) No. The scenario does not suggest that Ms. Ears herself made any investment in the target firm, and
Mrs. Clueless was not made aware of the basis for Ms. Ears' recommendation.
D) Yes. In making a recommendation based on information that was not publicly available, Ms. Ears has
violated insider trading laws and is subject to both civil and criminal penalties.

2. In order for the Invest4U Mutual Fund to qualify as a regulated investment company under Internal
Revenue Code Subchapter M, it must:

A) Both A and B are required for Invest4U to qualify as a regulated investment company.
B) distribute at least 90% of its net investment income to its shareholders.
C) invest at least 75% of its monies in diversified securities.
D) distribute at least 98% of its net income from capital gains to its shareholders.

3. Which of the following is not a feature associated with an investment in preferred stock?

A) The dividend is typically a fixed amount.
B) Preferred shareholders usually have the right to vote on members of the board of directors, mergers,
and shareholder proposals.
C) If a dividend payment is skipped, it must typically be made up before common shareholders can
receive any dividends.
D) The preferred stock may be convertible to common stock.

4. Which of the following retirement plans requires the employer to match employee contributions in
accordance with specific guidelines?

A) Section 457 plans
B) 401(k) plans
C) SIMPLE IRAs
D) both A and B

5. Giant Investments, a family of mutual funds, is introducing a new fund. G iant has recently filed a
registration statement for the new fund with the SEC and is waiting for the SEC to declare the registration
statement effective. While it does so, Giant may:
I. place advertisements in financial publications that announce that a new fund is expected to be available
soon, along with Giant's contact information.
II. mail preliminary prospectuses to existing and prospective clients.
III. mail existing clients who have been pre-screened to determine that the fund's objectives are in line
with their investment objectives with information on the price they can lock in today to purchase the
shares once the registration statement is deemed effective.

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

Solutions: