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FINRA Series6 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Seeks Business for the Broker-Dealer from Customers and Potential Customers | 24% | - Prospecting and communication with clients
|
| Obtains and Verifies Customers' Purchase and Sales Instructions | 10% | - Order processing and transaction procedures
|
| Opens Accounts After Obtaining and Evaluating Customer Financial Profile | 16% | - Customer account types and documentation
|
| Provides Customers with Information About Investments | 50% | - Investment company securities and variable contracts
|
FINRA Investment Company and Variable Contracts Products Representative Examination (IR) Sample Questions:
Mr. Cross wanders into your office with a $35,000 check that he has received from his recently-deceased
wife's insurance company and wants you to advise him how to invest it, since that is your job, as he puts it.
You ask him to fill out a standard investor profile questionnaire, but he refuses to do so. You offer to fill it
out for him, based on his answers to your verbal questions, but he still refuses and calls you a
"nibby-nose." Based on this, you can:
- A. advise him to invest the money in an S&P 500 Index fund.
- B. advise him to invest the money in a money market mutual fund instead of holding it as cash.
- C. The advice provided in either Choice B or Choice C would be appropriate.
- D. allocate the $35,000 any way you choose since you have an uncooperative client.
Correct Answer: B 🗳️
Explanation: Only visible for ExamsTorrent members. You can sign-up / login (it's free).
Nancy invested $1,850 in the MidFee Mutual Fund, which has a 4% front-end load. The net asset value
(NAV) per share of the fund at the time of her purchase was $22.20.How many shares of the fund was
Nancy able to purchase?
- A. 83.33
- B. 80.13
- C. 80.00
- D. None of the above is correct.
Correct Answer: C 🗳️
Explanation: Only visible for ExamsTorrent members. You can sign-up / login (it's free).
Callie has a new client who wants to begin investing in mutual funds with the $5,000 she has pulled out of
her savings account. The client has indicated she wants to set this money aside in a separate account so
that her baby girl, now 2 years old, can have the "wedding of her dreams" when she grows up. Based on
the information the client has provided, Callie believes the client would benefit most by purchasing shares
of a certain fund that offers Class A, Class B, and Class C shares. Given these facts, Callie's client is
probably best off purchasing the shares of which class?
- A. None of that above. Based on the facts, Callie's client would be better off buying a Treasury STRIP that
matures in 20 to 30 years. - B. Class B
- C. Class C
- D. Class A
Correct Answer: B 🗳️
Explanation: Only visible for ExamsTorrent members. You can sign-up / login (it's free).
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. All of the above have a mandatory distribution requirement.
- D. I and III only
Correct Answer: A 🗳️
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A fund's transfer agent is responsible for:
I. calculating and distributing the capital gain and dividend income of the fund.
II. mailing shareholder account statements.
III. paying fund expenses.
- A. I, II, and III
- B. I only
- C. II only
- D. I and II only
Correct Answer: D 🗳️
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