FINRA Series6 Actual Tests : Investment Company and Variable Contracts Products Representative Examination (IR)

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

2. 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) Ari has six years to submit his claim to arbitration.
B) Ari may either sue Savvy in a civil court of law or submit his claim to arbitration.
C) 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.
D) both B and C are true statements.

3. Which of the following is not an advantage that an exchange traded fund (ETF) has over a traditional
mutual fund?

A) There are no fees (i.e., loads, commissions) associated with buying and selling ETFs.
B) ETFs trade continuously throughout the day.
C) All of the above are advantages that an ETF has over a traditional mutual fund.
D) Investors can use limit and stop orders when trading ETFs.

4. The premiums paid on which of the following are paid into the general account of an insurance company?
I. whole life
II. universal life
III. term life
IV. variable life

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

5. After having been divorced for several years, Mrs. Blended has remarried a man with three children of his
own. She has set up a revocable trust in which she deposited funds that she inherited when her mother
died, so that the monies will go uncontested to her two biological children in the event of her own death.
These two adult children are the only beneficiaries of the trust. Mrs. Blended has no plans to touch any of
the money in the trust unless circumstances demand it in the future. The trust is invested in a mutual fund
that paid $500 in dividend income and distributed $3,000 in long-term capital gain income to the trust this
year. Which of the following statements is true regarding the tax treatment of these distributions?

A) The distributions will not be taxed at this point; they will be taxed as part of the estate upon Mrs.
Blended's death.
B) Mrs. Blended must pay taxes on the $3,500 in distributions.
C) The distributions will not be taxed at this point; they will be taxed only when Mrs. Blended or her
beneficiaries make withdrawals from the trust.
D) Assuming her two adult children are equal beneficiaries, each one is responsible for paying tax on 50%
of the income to the trust, or $1,750.

Solutions: