FINRA Investment Company and Variable Contracts Products Representative Examination (IR) : Series6

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FINRA Investment Company and Variable Contracts Products Representative Examination (IR) Sample Questions:

1. Steve Sharp sees a quote for a mutual fund that indicates the fund has a net asset value (NAV) of $26.60
and a public offering price (POP) of $28.00. Based on this, Mr. Sharp quickly ascertains that this fund
must have:

A) either a front-end or rear-end load of 5.0%.
B) either a front-end or rear-end load of 5.3%.
C) a front-end load of 5.3%.
D) a front-end load of 5.0%.

2. Ms. Ears is an investment adviser representative. During lunch today, she overheard two men talking
about a hostile takeover that their firm was preparing to undertake. Based on this information, Ms. Ears
does not hesitate to advise the client she meets with immediately after lunch-Mrs. Clueless-- to invest a
sum of money in the firm the men had named as the target firm. Ms. Ears remembers that the price of
target firms, on average, increases significantly with an announcement of this sort, but she does not
inform Mrs. Clueless of the reason underlying her recommendation. Has there been any violation of
insider trading laws in this scenario, as described?

A) No. The scenario does not suggest that Ms. Ears herself made any investment in the target firm, and
Mrs. Clueless was not made aware of the basis for Ms. Ears' recommendation.
B) Yes. Both Ms. Ears and the two men have violated insider trading laws. The two men are prohibited
from discussing such private information in a public setting, and Ms. Ears is prohibited from making a
recommendation based on that information.
C) Yes. In making a recommendation based on information that was not publicly available, Ms. Ears has
violated insider trading laws and is subject to both civil and criminal penalties.
D) No. Ms. Ears is not considered to be an insider of the company preparing the hostile takeover.

3. 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.

4. Yvette is a recently-widowed 63-year-old. The couple had no children, and when her husband died, she
was the beneficiary of his $45,000 life insurance policy. She also receives benefits from his retirement
plan and social security, but this income falls about $300 short of covering her regular monthly expenses,
which includes a sizeable amount for health insurance. In the months since her husband's death, she sold
their larger home and purchased a condominium, netting $80,000 from the combined transactions. Yvette
was a homemaker all her life, and her husband handled all their finances, so Yvette is just learning how to
balance her checkbook. One thing she does know is that she is going to have to purchase a new car
within the next few months. Yvette is in good health and expects to live at least another 25 years. Which
of the following types of investments should be included in recommending an asset allocation to Yvette?

A) money market fund
B) life insurance policy
C) municipal bond fund
D) aggressive growth stock fund

5. Which of the following statements regarding a mutual fund's expenses are true?

A) The expense ratio of a mutual fund cannot exceed 1.0%.
B) A mutual fund's record maintenance fees cannot exceed 0.25% of average net assets.
C) A mutual fund that has a front-end load cannot also charge 12b-1 fees.
D) A mutual fund family is prohibited from charging a fee when an investor exchanges his shares of one of
its funds for another.

Solutions: