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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 bonds would not be considered investment grade?

A) a corporate bond with a BBB rating.
B) a debenture with an A rating.
C) a municipal bond with a BB rating.
D) a general obligation bond with an AA rating.

2. Which of the following is a true statement about FINRA rules regarding material that Giant Investments
submits to its institutional investors?
I. FINRA requires that each member firm establish procedures for each institutional investor separately.
II. Procedures to be followed in distributing material to institutional investors must be in writing.
III. All institutional sales material must be submitted to a principal for approval prior to being used.
IV. Institutional sales material must be maintained by the member firm for at least three years from the
date of last use.

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

3. Which of the following would not be required to display prominently the name of the member firm issuing
it?
I. sales literature distributed to an institutional investor
II. correspondence by a registered representative with her client
III. an advertisement to recruit new registered representatives

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

4. Mr. Donald is the owner and CEO of Just Ducky Broker-Dealers. His wife, Ms. Daisy handles all the
ministerial duties for the firm. The firm has three other employees. Huey is the municipal bond specialist
and handles client trades in municipal securities only; Dewey handles only mutual fund sales for clients;
Louie handles all aspects of client trading in stocks, corporate bonds, and options. Which of the following
statements regarding the minimum FINRA registration requirements for these individuals is true?

A) Mr. Donald, Ms. Daisy, Dewey and Louie must be registered as general securities representatives, and
Huey must be registered as a limited securities representative under FINRA rules.
B) Mr. Donald, Huey, Dewey and Louie must all be registered as general securities representatives in
accordance with FINRA rules.
C) Under FINRA rules, Mr. Donald must register as a principal, Dewey must be registered as a limited
securities representative, and Louie must be registered as a general securities representative. Daisy and
Huey need not be registered.
D) Mr. Donald and Ms. Daisy must be registered as principals, and the other three must be registered as
general securities representatives under FINRA rules.

5. One difference between a unit investment trust (UIT) and a closed-end fund is that

A) the shares of UITs are redeemable, whereas the shares of closed-end funds are not.
B) unlike UITs, closed-end funds have a fixed number of shares.
C) closed-end funds are established with a termination date, unlike UITs.
D) shares of closed-end funds trade on the exchange floors, unlike shares of UITs.

Solutions: