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FINRA Series6 Exam Syllabus Topics:

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

1. Paul is 36 years old and is married with two children, ages eight and ten. Paul lays carpet for a living,
working as an independent contractor, and earns about $35,000 a year. His wife, Paula, is 33 years old,
drives a school bus and earns only $18,000 a year, but her job provides the family with low-cost health
insurance. They live conservatively and barely make ends meet. Paula recently inherited $180,000,
however, and the couple would like to invest it, with the goal that they can both retire when Paul turns
6 2.The inheritance also included an educational endowment for their children, so they will not have to
worry about saving for their children's college educations. Which of the following would not be a suitable
recommendation for the allocation of their investment monies?

A) municipal bond fund
B) Roth IRA
C) life insurance
D) aggressive growth stock fund

2. The "catch-up provision" that has been established for both the traditional and Roth IRAs applies to
people of what age?

A) 60 and older
B) 62 and older
C) 55 and older
D) 50 and older

3. Ms. Scatty is a registered representative with a well-known family of mutual funds. When selling one of
the funds, she forgets to give her buyer a prospectus. Which of the following statements is true?

A) Ms. Scatty can be held criminally liable under the Securities Act of 1933.
B) Both A and B are true statements.
C) Ms. Scatty can be held civilly liable under the Securities Act of 1933.
D) Since mutual funds are not covered under the Securities Act of 1933, there is no liability in this
instance.

4. Ms. Newbie is a newly-minted registered representative. Mr. Oldman saunters into her office, becomes
infatuated with her, opens an account, and signs a document giving Ms. Newbie discretionary authority
over the account. Mr. Oldman is 68 years old, retired, lives on a fixed income, and pays taxes at the
lowest marginal tax rate available. His stated investment objectives are capital preservation and income.
Ms. Newbie invests 1/4 of his investment monies in a periodic-payment, deferred, variable annuity. Based
on these facts:

A) Ms. Newbie has a reasonable sexual harassment case against Mr. Oldman for putting her in such a
position.
B) Ms. Newbie has done a remarkable job as a newly-minted representative of allocating at least a fourth
of Mr. Oldman's funds appropriately.
C) Ms. Newbie may lose her license before she gets started in the business for making an unauthorized
transaction.
D) Although Ms. Newbie's asset allocation for Mr. Oldman is less than optimal, she is in no danger of
losing her license or any other penalty, given that she has been given discretionary authority over the
account.

5. The investment banker bears the risk if the securities do not sell in a(n):

A) best efforts agreement.
B) all-or-nothing commitment.
C) None of the above selections are correct. The investment banking firm is never exposed to risk if the
securities don't sell.
D) firm commitment underwriting agreement.

Solutions: