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FINRA Series6 Exam Syllabus Topics:

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

Question 1

Clem Shyster is a registered representative with a family of mutual funds. A married couple in their 50s
sought his advice about how they should best invest an $80,000 profit that they had received when they
sold a rental property they owned for a number of years. Their investment profile indicated to Clem that
their main investment objective was capital appreciation and that they were willing to accept moderate
levels of risk. Clem advised them to invest $10,000 in eight different growth funds, each of which had a
7 % front-end load. Has Clem violated any securities laws with his recommendation?

A. Yes. Although growth funds provide some amount of capital appreciation, Clem should have
recommended that they spread their money among eight different aggressive growth funds instead, to
achieve even greater capital appreciation.
B. Yes. Clem should have advised them to invest in funds that had a deferred sales charge instead of a
front-end load.
C. Yes. There is a lot of overlap of the individual stocks in which growth funds invest, so recommending
that they spread their funds among eight different growth funds has not provided them with significantly
more diversification, and it has cost them more to do so, which will benefit Clem.
D. No. Growth funds invest in stocks that are selected to provide the capital appreciation that Clem's
clients need, and an investment in eight such funds will provide them with maximum risk diversification.

Question 2

Which of the following statements regarding callable bonds is false?

A. Callable bonds offer a higher yield than non-callable bonds, all else equal.
B. The issuer of a callable bond is most likely to redeem the bond early when interest rates fall.
C. Investors in callable bonds are subject to prepayment risk.
D. A callable bond protects the investor by allowing him to sell his bond back to the issuer and invest in
another, similar-risk bond that pays a higher rate of interest should the investor choose to do so.

Question 3

A mutual fund may not do which of the following, under any circumstances?
I. buy securities on margin
II. engage in short sales
III. change its investment objective
IV. invest in more than 1% of the outstanding voting stock of another investment company

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

Question 4

The stock of Nutrisystem, Inc. (NTRI) is selling for $17.70 when Miss Piggy places a limit order to buy the
stock at $17.65. During the period the order is open, NTRI falls to $17.60 and then increases to
$ 17.67.Which of the following statements is most likely to be true in this scenario?

A. Miss Piggy bought the stock for no more than $17.60 a share.
B. Miss Piggy bought the stock for no more than $17.65 a share.
C. Miss Piggy bought the stock for $17.66 a share.
D. Miss Piggy bought NTRI at $17.67 a share.

Question 5

Marge is 57 and wants to retire early. Since she is not yet eligible for social security, she wants to begin
tapping a variable annuity to which she has been contributing for the last 20 years. Which of the following
statements regarding her withdrawals is true?

A. There is no way that Marge can begin making withdrawals without facing a 10% penalty for early
withdrawal unless she is disabled or needs the money for medical expenses.
B. Marge can begin her withdrawals tax-free and without penalty under IRS rule 72(t) as long as she does
so following the specific guidelines for a period of five years.
C. Marge can begin her withdrawals tax-free and without penalty under IRS rule 72(t) as long as she does
so following the specific guidelines until she turns 59 1/2 , at which point she will no longer have to follow
the specific guidelines.
D. Marge can begin her withdrawals without penalty under IRS rule 72(t) as long as she does so following
the specific guidelines for a period of five years; however, the withdrawals will be subject to taxation.

Solutions: