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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 is not an auction market?

A) All of the above are auction markets.
B) CHX
C) NYSE
D) NASDAQ

2. Which of the following statements regarding insider trading penalties is true?

A) A broker-dealer who is found to have provided inadequate supervision over an agent who is found
guilty of insider trading is also subject to insider trading penalties.
B) Both A and C are true statements.
C) Any contemporaneous trader who has lost money due to an illegal insider trade may sue the violator
for both the amount of his losses and pain and suffering, as determined by the court.
D) The SEC may seek both civil and criminal penalties against an individual who is found guilty of insider
trading.

3. In 2008, Mr. Conservative bought a 1-year Treasury bill that was yielding 1.63%.The average annual rate
of inflation in 2008 was 3.85%.In this case:

A) Mr. Conservative earned a nominal return of +3.85% on his T-bill investment.
B) Mr. Conservative earned a real return of +1.63% on his investment.
C) Mr. Conservative earned a nominal return of +2.22% on his investment.
D) Mr. Conservative earned a real return of -2.22% on his investment.

4. Which of the following statements regarding CMOs is false?

A) CMOs are considered to have lower risk and, therefore, offer lower returns.
B) CMOs are zero-coupon bonds that are backed by real estate.
C) CMO investors are divided into classes, and the class determines when the investor will receive
payments of principal.
D) Relative to other bonds, CMOs are illiquid.

5. Giant Investments, a family of mutual funds, is introducing a new fund. G iant has recently filed a
registration statement for the new fund with the SEC and is waiting for the SEC to declare the registration
statement effective. While it does so, Giant may:
I. place advertisements in financial publications that announce that a new fund is expected to be available
soon, along with Giant's contact information.
II. mail preliminary prospectuses to existing and prospective clients.
III. mail existing clients who have been pre-screened to determine that the fund's objectives are in line
with their investment objectives with information on the price they can lock in today to purchase the
shares once the registration statement is deemed effective.

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

Solutions: