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FINRA Series6 Exam Syllabus Topics:

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

1. Under current tax laws, which of the following distributions received from a mutual fund qualify for
preferential tax treatment?
I. short-term capital gains
II. long-term capital gains
III. qualifying dividends
IV. non-qualifying dividends

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

2. The Bank Secrecy Act (BSA) requires any financial institution to:
I. file a suspicious activity report (SAR) when a possible violation of a law is suspected.
II. inform its customer that it is filing the SAR.
III. provide any customer that is suspected of engaging in an illegal transaction the opportunity to explain
himself prior to filing an SAR.
IV. obtain specified information on any party sending or receiving a wire transfer of $3,000 or more.

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

3. Nancy invested $1,850 in the MidFee Mutual Fund, which has a 4% front-end load. The net asset value
(NAV) per share of the fund at the time of her purchase was $22.20.How many shares of the fund was
Nancy able to purchase?

A) 80.00
B) 80.13
C) 83.33
D) None of the above is correct.

4. 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 and III only
B) I and II only
C) I, II, and III
D) I only

5. Which of the following is not a function performed by an investment banker as part of a full commitment
underwriting?

A) provides advice to the issuing firm on what type of security should be issued in order to raise the funds
B) purchases the securities from the issuing firm
C) provides advice to the issuing firm on the projects in which it should invest the money raised
D) provides short-term price support for the security after it begins trading in the secondary market

Solutions: