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FINRA Series6 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Seeks Business for the Broker-Dealer from Customers and Potential Customers | 24% | - Prospecting and communication with clients
|
| 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: Provides Customers with Information About Investments | 50% | - Investment company securities and variable contracts
|
FINRA Investment Company and Variable Contracts Products Representative Examination (IR) Sample Questions:
An advertisement that provides performance data for which of the following mutual funds would not need
to include a statement warning that the principal value of the investment will fluctuate such that the
investor's shares may be worth either more or less when redeemed than what the investor originally paid
for them?
- A. a municipal bond fund
- B. Neither choices A nor B would need to include the stated warning.
- C. a money market fund
- D. a U.S. government bond fund
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The stock of Hasbro Corporation (HAS) is selling for $44.50 and pays a dividend of $1.00 a share. What is
its dividend yield, rounded to the nearest hundredth of a percent?
- A. 2.25%
- B. 4.45%
- C. 1.00%
- D. none of the above
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Which of the following must be true for a fund to be called a "no load" fund?
I. The fund can have no front-end load.
II. The fund can have no contingent deferred sales charge.
III. The fund can charge no 12b-1 fees.
IV. The fund cannot charge investors an exchange fee.
- A. I, II, III, and IV must all be true.
- B. I, II, and III must all be true.
- C. Only I must be true.
- D. Only I and II must be true.
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Which of the following steps in the underwriting process will occur last?
- A. The underwriting syndicate is formed.
- B. The selling group is organized.
- C. A red herring prospectus is circulated to the public.
- D. The public offering price is set.
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Ms. Newbie is a registered representative with Savvy Investments and has recently gotten married.(Her
new name is Mrs. Newbie-Oldman.)Her husband has been a client of hers, and the couple now wants to
put her name on the account. In this case:
- A. Mrs. Newbie-Oldman's husband must provide written authorization to Savvy Investments for his new
bride to be included on the account. - B. Mrs. Newbie-Oldman must obtain written authorization from Savvy Investments to put her name on the
account. - C. Both B and C are true statements.
- D. Mrs. Newbie-Oldman may only share in the account to the extent that she deposits funds in the
account.
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