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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 risks would not be a risk associated with a municipal bond fund?
I. credit risk
II. reinvestment risk
III. currency exchange risk

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

2. The stock of eBay, Inc. (EBAY) currently has a beta of 1.67. Based on this, which of the following
statements are necessarily true?
I. If the market is up 5%, an investor can expect the returns on eBay to increase by 1.67 times this amount,
or 8.35%.
II. eBay would be a particularly good investment for an investor with a short investment horizon.
III. The returns on eBay are more volatile than the returns on the market in general.
IV. eBay has more unsystematic risk than the market in general.

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

3. Which of the following statements regarding profit-sharing plans is false?

A) The employer can deduct contributions made to a profit-saving plan, within specific guidelines.
B) The withdrawals made by an employee from a profit-sharing plan are taxable as ordinary income.
C) A profit-sharing plan must stipulate a minimum employer contribution that will be made, even in less
profitable years.
D) Employees are not permitted to make contributions of their own to a profit-sharing plan.

4. Under FINRA rules, the variable contract sales agreement must specify that any sales commission is to
be returned to the insurance company if the buyer terminates the contract within:

A) 7 business days.
B) one week.
C) 10 business days.
D) 5 business days.

5. Joan is a customer of GetErDone Broker-Dealers. Her twin sister, Jean, has accompanied her to
GetErDone's office and has gathered some information regarding opening an account with the firm, giving
it her contact information at the same time. Under Regulation S-P, which of the following statements
regarding GetErDone's handling of Joan's and Jean's personal information is true?

A) GetErDone must provide Joan with a notification of its privacy policies annually and provide her with
information on how to mandate that it not share her nonpublic personal information with nonaffiliated third
parties.
B) GetErDone is required to have provided Jean with a copy of its privacy policy when she inquired about
opening an account with the broker-dealer.
C) All of the above are true statements.
D) GetErDone can disclose any information that Jean provided them to nonaffiliated third parties since
Jean is not a customer of the broker-dealer.

Solutions: