Investment Company and Variable Contracts Products Representative Examination (IR) Series6 exam vce dumps preparation

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FINRA Series6 Exam Syllabus Topics:

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

Question 1

Which of the following correctly describes a difference between closed-end and open-end investment
companies?

A. Open-end investment companies have a fixed number of shares; closed-end companies can create
new shares if there are more buyers than sellers.
B. Open-end companies may invest in non-diversified portfolios; closed-end companies are required to
invest only in diversified portfolios.
C. Open-end investment company shares will never be offered at a price below the net asset value per
share of the fund; this is not true of closed-end companies.
D. Shares of open-end companies sell on exchange floors; shares of closed-end companies are bought
and sold through the company itself.

Question 2

Mr. Donald is the owner and CEO of Just Ducky Broker-Dealers. His wife, Ms. Daisy handles all the
ministerial duties for the firm. The firm has three other employees. Huey is the municipal bond specialist
and handles client trades in municipal securities only; Dewey handles only mutual fund sales for clients;
Louie handles all aspects of client trading in stocks, corporate bonds, and options. Which of the following
statements regarding the minimum FINRA registration requirements for these individuals is true?

A. Mr. Donald and Ms. Daisy must be registered as principals, and the other three must be registered as
general securities representatives under FINRA rules.
B. Mr. Donald, Ms. Daisy, Dewey and Louie must be registered as general securities representatives, and
Huey must be registered as a limited securities representative under FINRA rules.
C. Under FINRA rules, Mr. Donald must register as a principal, Dewey must be registered as a limited
securities representative, and Louie must be registered as a general securities representative. Daisy and
Huey need not be registered.
D. Mr. Donald, Huey, Dewey and Louie must all be registered as general securities representatives in
accordance with FINRA rules.

Question 3

Which of the following correctly describe differences between a profit-sharing plan and a money purchase
plan?
I. An employer can elect to make no contribution to a profit-sharing plan in a bad year, but the employer
must make contributions to a money purchase plan, regardless.
II. Only employers make contributions to profit-sharing plans whereas both employers and employees can
contribute to a money purchase plan.
III. A profit-sharing plan is a defined benefit plan whereas a money purchase plan is a defined contribution
plan.

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

Question 4

On which of the following items do mutual fund shareholders get to vote?
I. any change in the investment objective of the fund
II. the election of a new investment adviser
III. the renewal of the fund's 12b-1 fee
IV. the purchase or sale of real estate by the fund

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

Question 5

Lana is registered as a limited representative and is employed by Everything Investments. Her duties
include selling mutual funds and variable contracts products to the firm's clients. She has been
particularly successful in selling variable contracts offered by OneLife insurance company. As a "thank
you" for her hard work, OneLife has offered her a ticket to an upcoming play at a local dinner theatre.
Given this scenario, which of the following statements applies?

A. Lana can accept the offer as long as Everything agrees to it and as long as it is not an ongoing thing
and/or preconditioned on her achieving a specified sales target.
B. Lana will have to pass on the offer. She is permitted to receive only cash compensation in an amount
not to exceed $100 from an entity other than Everything, and then only with Everything's approval.
C. Lana can accept the offer without Everything's approval in this instance since the offer does not involve
cash.
D. Lana will have to pass on the offer. Lana is prohibited from receiving compensation from anyone other
than Everything Investments.

Solutions: