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

2. One difference between investing in a variable annuity and in a mutual fund is that:

A) the premiums invested in a variable annuity grow tax-deferred.
B) the variable annuity guarantees a minimum rate of return on your investment.
C) the fees and charges associated with investing in a mutual fund are much higher than those associated
with investing in a variable annuity contract.
D) Mutual fund investors have voting rights; owners of variable annuity contracts have no voting rights.

3. Dottie is a newly-minted, registered representative and is doing some cold calling to line up appointments
with prospects. When doing so, Dottie:
I. must not call anyone on her firm's do-not-call list.
II. must not call anyone on the FTC's national do-not-call-list.
III. must not call anyone before 7 a.m. or after 7 p.m., based on the time zone of the person being called.
IV. must provide the person called with her name, the name and contact information of her firm, and the
purpose of her call.

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

4. Mr. Big of HiGrow Corporation needs more money to support the exceptional growth rate that his firm is
enjoying. He meets with BigFee Investment Banker, who agrees to handle the IPO for HiGrow.
Subsequently, InTheLoop Brokerage is tapped to be part of the selling group that will handle the sale of
the new stock to the public. In this example, the issuer is:

A) HiGrow Corporation
B) Mr. Big
C) BigFee Investment Banker
D) InTheLoop Brokerage

5. A preemptive right:

A) is a feature on some preferred stock issues that allows the preferred shareholders to exchange their
preferred shares for shares of the common stock of the firm.
B) is a call option that is usually attached to a bond as a sweetener.
C) gives a bond owner the option to sell the bond back to the issuer at a pre-specified price.
D) entitles its owner to buy shares of stock at a specified price within a specified time period in order to
maintain his proportionate ownership in the firm.

Solutions: