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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 securities is not exempt from registration requirements?

A) a bond issued by the U.S. post office
B) a new issue of stock issued by a corporation that already has shares of its stock trading on the NYSE
C) private-placement variable universal life insurance
D) a revenue bond issued by the state of Florida to raise money to build an airport

2. Which of the following would be a reason for a person to receive a statutory disqualification from
membership in FINRA?

A) The person has been barred from membership in one of the national exchanges.
B) The person has made a misleading statement of material fact on the membership application.
C) All of the above are reasons for a person to receive a statutory disqualification from membership in
FINRA.
D) The person is on the verge of financial insolvency.

3. Matt is a registered representative with Fine, Howard, Fine and Associates. Tom, an old fraternity brother,
is one of his clients. Business has been bad, and Matt is going to have difficulties making this month's
mortgage payment. Tom was commiserating with him when the two hooked up to have a couple of beers
together and offered to lend Matt some money to see him through the rough times. Based on these facts:

A) Matt must refuse Tom's offer since Tom is one of his clients.
B) Matt can accept the offer as long as Tom will not need to sell any investments to lend Matt the money.
This would constitute a conflict of interest.
C) Matt can accept the offer without having to obtain pre-approval from his employer since he and Tom
are former fraternity brothers and their friendship pre-dates their agent/client relationship.
D) Matt can accept Tom's offer, but only after obtaining pre-approval from Fine, Howard, Fine.

4. NewWave Investments, a family of mutual funds, hires the star of a new motion picture about the
workings of Wall Street to provide a testimonial as part of NewWave's new television ad campaign. The
actor's financial adviser has, in fact, invested some of the actor's monies in NewWave's funds. NewWave
provides the actor with a script in which the actor explains the concept of dollar cost averaging to the
viewers. At the conclusion of the actor's explanation, the viewers are informed that the actor has been
paid for his testimonial, that his experience may not be representative of that of other clients, and that past
performance is no guarantee of future performance. Based on these facts:

A) NewWave has violated no rules; it has complied with all of FINRA's disclosure requirements.
B) NewWave has violated a FINRA rule stipulating that testimonial providers can receive no payment for
their testimonies.
C) NewWave has violated a FINRA rule requiring that any testimonial that contains a technical aspect
related to investing must be given by someone who has both the knowledge and experience to hold a
valid opinion on the topic.
D) NewWave has violated a FINRA rule that prohibits testimonials of public figures from being used in
advertisements.

5. Which of the following activities are permitted during the "cooling off" period associated with a new
offering?
I. A preliminary prospectus may be provided to prospective investors.
II. The security can be registered in any states in which it will be sold.
III. The management of the issuing firm may give interviews in which they discuss the market for their
products and future revenue expectations.
IV. The underwriter of the issue may run a tombstone advertisement in the Wall Street Journal to
announce the upcoming offering.

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

Solutions: