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. A long-term, unsecured bond issued by a corporation is called:

A) a general obligation bond.
B) commercial paper.
C) an industrial revenue bond.
D) a debenture.

2. Joe Cool is a member of the All Greek Fraternity. A few of the alumni of his fraternity sat for the FINRA
Series 6 exam over the past couple of years and, using their cell phones, took pictures of the exam
questions. They forwarded these to their fraternity to be included in the test bank file the fraternity keeps
in its study room. Have there been any violations of FINRA/NASD rules in this instance?

A) Both A and C are true statements.
B) No. Rule 2110 only prohibits the reproduction and distribution of a previously administere d FINRA
exam for study purposes if the exams are being sold. As long as there is no compensation involved, a
violation has not been committed.
C) Yes. It is a violation of Rule 2110 for an exam-past or present-to be reproduced and distributed for
study purposes.
D) No. It is standard practice for sororities and fraternities to compile test banks of old exams, and since
the forwarded tests are not copies of an actual future exam that will be administered, there has been no
violation of any rules.

3. Which of the following qualifies as an insider under the definition provided by the Securities Exchange Act
of 1934?
I. a member of the board of directors of a firm
II. the vice-president of marketing of a firm
III. an investor who owns 5% of the voting stock of the firm
IV. the daughter of the CEO of a firm

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

4. A mutual fund may not do which of the following, under any circumstances?
I. buy securities on margin
II. engage in short sales
III. change its investment objective
IV. invest in more than 1% of the outstanding voting stock of another investment company

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

5. A preemptive right:

A) 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.
B) 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.
C) gives a bond owner the option to sell the bond back to the issuer at a pre-specified price.
D) is a call option that is usually attached to a bond as a sweetener.

Solutions: