FINRA Series6 : Investment Company and Variable Contracts Products Representative Examination (IR)

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FINRA Series6 Exam Syllabus Topics:

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

1. Which of the following statements regarding a mutual fund's expenses are true?

A) A mutual fund that has a front-end load cannot also charge 12b-1 fees.
B) A mutual fund family is prohibited from charging a fee when an investor exchanges his shares of one of
its funds for another.
C) A mutual fund's record maintenance fees cannot exceed 0.25% of average net assets.
D) The expense ratio of a mutual fund cannot exceed 1.0%.

2. Ms. Fortune died at the relatively young age of 60. Which of the following options are available to her
6 5-year-old spouse, the beneficiary of her IRA?
I. withdraw the entire balance in a single lump sum
II. continue to make contributions to the IRA as if it were his own
III. roll his deceased wife's IRA into an existing IRA that he owns

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

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

4. Which of the following describes a difference between a unit investment trust (UIT) and a mutual fund?

A) UITs must hold non-diversified portfolios; mutual funds may be either non-diversified or diversified.
B) UITs have a fixed number of shares; mutual funds do not.
C) UITs are not required to distribute dividends and capital gains to their shareholders as mutual funds
must.
D) All of the above describe differences between a UIT and a mutual fund.

5. Giant Investments filed a registration statement with the SEC for a new fund it wanted to introduce and
has received word that the registration statement is now effective. Based on this, Jack, a registered
representative with Giant Investments, can tell a client that:

A) the SEC warrants that there have been no misstatements of fact in the registration statement.
B) because the SEC has recently announced the fund's registration statement effective, the client can rest
assured that it is a sound long-term investment.
C) because the SEC has recently approved the fund, it is likely to be a much safer investment than other,
older funds in the same fund category.
D) the SEC pronouncement on the effectiveness of the registration statement means only that the SEC
has deemed that enough information has been provided in the registration statement for the client to
judge the quality of the investment for himself.

Solutions: