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FINRA Series6 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Provides Customers with Information About Investments | 50% | - Investment company securities and variable contracts
|
| Topic 2: Opens Accounts After Obtaining and Evaluating Customer Financial Profile | 16% | - Customer account types and documentation
|
| Topic 3: Obtains and Verifies Customers' Purchase and Sales Instructions | 10% | - Order processing and transaction procedures
|
| Topic 4: Seeks Business for the Broker-Dealer from Customers and Potential Customers | 24% | - Prospecting and communication with clients
|
FINRA Investment Company and Variable Contracts Products Representative Examination (IR) Sample Questions:
Under the Investment Company Act of 1940, an investment company is:
- A. any company that holds investment securities that have a value that is greater than 40% of the
company's totalassets. - B. All of the above accurately describe an investment company as defined by the Investment Company
Act of 1940. - C. required to register with the SEC.
- D. any issuer whose primary business involves investing, reinvesting, or trading in securities.
Correct Answer: B 🗳️
Explanation: Only visible for Actual4Exams members. You can sign-up / login (it's free).
Which of the following would be required to register as an investment company?
I. a non-diversified management company
II. a unit investment trust
III. a face-amount certificate company
- A. II only
- B. I, II, and III
- C. II and III only
- D. I and II only
Correct Answer: B 🗳️
Explanation: Only visible for Actual4Exams members. You can sign-up / login (it's free).
Which of the following would not have to register as an investment adviser or an investment adviser
representative under the Investment Advisers Act of 1940?
I. an insurance agent who sells only whole life and term life policies
II. a commodity futures broker
III. a bank employee who sells the bank's customers only CDs and other bank securities that are
FDIC-insured
IV. a person that is registered as a broker-dealer with the SEC that also provides investment advice to its
customers for additional compensation
- A. I and III only
- B. I, II, and III only
- C. II and III only
- D. I, II, III, and IV
Correct Answer: B 🗳️
Explanation: Only visible for Actual4Exams members. You can sign-up / login (it's free).
A bond has a face value of $1,000, matures in 10 years, and pays an 8% coupon, with interest paid
semiannually. If the bond is priced to yield 8.8%, it is selling:
- A. at its maturity value.
- B. at par.
- C. at a discount.
- D. at a premium.
Correct Answer: C 🗳️
Explanation: Only visible for Actual4Exams members. You can sign-up / login (it's free).
Tex Payor owns 500 shares of Amazon.com, Inc. that he bought seven years ago when the stock price
was $18 a share, at which time he paid a commission of $12.95 to purchase the stock. At the beginning of
this year, Amazon was selling for $89 a share. Today, December 31st, Amazon's stock closed at $152 a
share. Based on this information, what must Tex include on this year's tax return as taxable income from
his investment in Amazon?
- A. the capital appreciation on the stock this year minus the commission he originally paid to purchase the
stock:($63 - $12.95) x 500 = $25,025 - B. none of the above
- C. only the capital appreciation on the stock this year: $63 a share x 500 shares = $31,500
- D. the value of the stock on December 31st minus the price he paid for it, which includes the commission
he paid, divided by the 7 years he has owned the stock: $152 - ($18 + $12.95) x 500 shares = $60,525 / 7
= $8,646
Correct Answer: B 🗳️
Explanation: Only visible for Actual4Exams members. You can sign-up / login (it's free).
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