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FINRA Series6 Exam Syllabus Topics:

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

1. Andy and Annie Raggedy own their own graphics art business that they operate out of their home and,
happily, generate enough income to meet their current needs. The couple is planning on having children
in the not too distant future, however, and they want to start putting money aside for their children's
college education and also want to start saving for retirement more aggressively. Which of the following
describes one of their primary investment objectives?

A) tax-exempt income
B) capital appreciation
C) preservation of capital
D) current income

2. Which of the following is not a characteristic of all auction stock exchanges in the U.S.?

A) There is a central marketplace.
B) In order to conduct a trade on the exchange, a broker must be a member of the exchange or hold a
license to trade on the exchange.
C) Stocks that are traded on the exchange must meet certain listing requirements, determined by the
exchange.
D) If a stock is listed on one of these exchanges, it is not permitted to be listed on any other exchange.

3. Which of the following relationships regarding shares of common stock are necessarily true?
I. shares outstanding > issued shares
II. authorized shares >= issued shares
III. issued shares = treasury shares
IV. issued shares >= shares outstanding

A) II and IV only
B) I, II, and III only
C) I and II only
D) II, III, and IV 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 and Ms. Daisy must be registered as principals, and the other three must be registered as
general securities representatives under FINRA rules.
B) 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.
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, Huey, Dewey and Louie must all be registered as general securities representatives in
accordance with FINRA rules.

5. Which of the following is not one of the rules stipulated by the Securities Exchange Act of 1934?

A) Investment companies are prohibited from using any sales literature that contains an omission of a
material fact.
B) All brokers and dealers are required to be members of a national securities association.
C) All securities' exchanges and SROs are required to register with the SEC.
D) Firms are required to send copies of their annual reports to investors before an annual meeting at
which directors are to be elected.

Solutions: