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

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FINRA Series6 Exam Syllabus Topics:

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

1. Marshall's employer offers a 403(b) plan, and Marshall must decide into which of several mutual fund
alternatives the contributions will be invested. Regardless of other factors, which of the following would
clearly not be a good choice?

A) a fund that invests almost exclusively in high-tech stocks
B) a municipal bond fund
C) a fund that invests in both foreign and domestic stocks
D) a fund that invests in stocks that are expected to experience high growth

2. A warrant differs from a standard call option in that:

A) a standard call option generally has a longer period to expiration than a warrant.
B) when a call option is exercised, the outstanding shares of the firm whose stock is being purchased
increases; this does not occur when a warrant is exercised.
C) a warrant gives the holder the right to sell shares of the underlying stock; a call option gives the holder
the right to buy shares of the underlying stock.
D) when a warrant is exercised, the firm whose stock is being purchased will have an increase in cash;
this is not the case when a standard call option is exercised.

3. Under FINRA's rules regarding proper supervision, member firms must:
I. have clear written procedures to supervise the activities of its principals, registered representatives, and
other associated persons.
II. designate as an office of supervisory jurisdiction (OSJ) any office of the member that engages in
maintaining custody of the funds and/or securities of the member's customers.
III. prohibit the use of any electronic communication method, including personal electronic devices, for
business-related communications unless the use of the devices can be properly supervised and the
communications retained.
IV. regularly evaluate the effectiveness of its supervisory policies.

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

4. On which of the following items do mutual fund shareholders get to vote?
I. any change in the investment objective of the fund
II. the election of a new investment adviser
III. the renewal of the fund's 12b-1 fee
IV. the purchase or sale of real estate by the fund

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

5. An exchange-traded fund (ETF):

A) charges no management fees.
B) can be structured as either a mutual fund or a unit investment trust.
C) is bought and sold at the net asset value of the fund.
D) is a type of closed-end investment company.

Solutions: