FINRA Certification Series6

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

1. Which of the following payout options would provide an annuity owner with the biggest monthly check?

A) life with period certain
B) straight life
C) joint and last survivor
D) unit refund life

2. Which of the following is not an auction market?

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

3. Which of the following securities would be exempt from SEC registration requirements?
I. a 15-year bond issued by the state of Colorado
II. an issue of preferred stock that has an aggregate par value of $5 million
III. an issue of commercial paper that has a 5-month maturity

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

4. Ari Gaunt was affiliated with Savvy Investments and was terminated after some of the female
representatives associated with Savvy filed sexual harassment complaints against him. Mr. Gaunt
believes that he is still due money for some transactions he executed prior to his termination; Savvy
believes otherwise. Under FINRA's Code of Arbitration:

A) if Ari submits his claim for arbitration and is unhappy with the panel's decision, he can then sue Savvy
in a civil court of law.
B) Ari may either sue Savvy in a civil court of law or submit his claim to arbitration.
C) Ari has six years to submit his claim to arbitration.
D) both B and C are true statements.

5. Tex Payor has invested in Invest4U Mutual Fund shares at various times over the last eight years. In the
past year, he has sold some of the shares purchased. To determine the cost basis of these shares, Tex:

A) should use dollar cost averaging to determine his cost basis.
B) must use first in/ first out (FIFO) accounting to determine his cost basis.
C) can choose to sell specific shares in order to minimize or maximize his cost basis, whichever is more
beneficial given his tax circumstances.
D) must use last in/first out (LIFO) accounting to determine his cost basis.

Solutions: