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FINRA Series6 Exam Syllabus Topics:

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

Question 1

GoForBroke Broker-Dealers has distributed a list of ten mutual funds that it suggests are top-notch funds
worthy of recommendation by GoForBroke's agents. Coincidentally, all the funds on this list also happen
to be those that execute the majority of their trades through GoForBroke. Is GoForBroke in violation of
any FINRA rules?

A. Yes. GoForBroke is prohibited from selling shares of mutual funds that execute their trades through the
broker-dealer. This rule is in place to avoid conflicts of interest.
B. Yes. By distributing a list naming specific funds that coincidentally all happen to execute a lot of trades
through GoForBroke, the broker-dealer is violating FINRA's anti-reciprocal rule.
C. No. GoForBroke only distributed a list of fund names; it did not offer its agents any form of additional
compensation for selling the funds on that list.
D. No. As long as the list consists of more than five funds, GoForBroke has not violated any FINRA rules.

Question 2

The primary difference between dealers and brokers is that:

A. Both Choices B and C describe differences between dealers and brokers.
B. dealers operate only in the bond market, while brokers conduct trades in stocks, bonds and options.
C. dealers operate exclusively in the primary market whereas brokers operate only in the secondary
market.
D. dealers are market makers, who buy and sell out of their own inventory of securities, while brokers are
matchmakers, who match buyers with sellers.

Question 3

Private placements may be sold to whom?

A. to only 35 investors.
B. only to accredited investors.
C. to as many as 35 non-accredited investors.
D. only to institutional investors.

Question 4

Marshall's employer offers a 403(b) plan, and Marshall must decide into which of several mutual fund
alternatives the contributions will be invested. Regardless of other factors, which of the following would
clearly not be a good choice?

A. a municipal bond fund
B. a fund that invests almost exclusively in high-tech stocks
C. a fund that invests in stocks that are expected to experience high growth
D. a fund that invests in both foreign and domestic stocks

Question 5

Which of the following are included in the expense ratio of a fund?
I. 12b-1 fees
II. brokerage costs incurred by the fund when it buys and sells securities
III. redemption fees
IV. management fees

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

Solutions: