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FINRA Series6 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 10% | - Transaction processing and verification |
| Topic 2: Provides Customers with Information About Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records | 50% | - Product information, suitability, recordkeeping and transfers |
| Topic 3: Opens Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 16% | - Account opening procedures and financial profile evaluation |
| Topic 4: Seeks Business for the Broker-Dealer from Customers and Potential Customers | 24% | - Topics in communications, marketing, and solicitation activities |
FINRA Investment Company and Variable Contracts Products Representative Examination (IR) Sample Questions:
Doc purchased shares of the MedTech Fund at its net asset value of $9.66 a share at the beginning of the
year. The fund distributed dividends of $0.12 a share and capital gains of $0.10 a share during the year.
The net asset value at the end of the year was $12.00. The fund's total return was:
- A. 10.1%.
- B. 25.5%.
- C. 26.5%.
- D. 21.3%.
Correct Answer: C 🗳️
Explanation: Only visible for TorrentExam members. You can sign-up / login (it's free).
A mutual fund may not do which of the following, under any circumstances?
I. buy securities on margin
II. engage in short sales
III. change its investment objective
IV. invest in more than 1% of the outstanding voting stock of another investment company
- A. I, II, and III only
- B. III and IV only
- C. I and II only
- D. III only
Correct Answer: C 🗳️
Explanation: Only visible for TorrentExam members. You can sign-up / login (it's free).
Which of the following would not be defined as an "interested person," under the Investment Company Act
of 1940?
- A. a person who owns at least 5% of the voting stock of the company
- B. the spouse of an officer of the company
- C. All of the above would be defined as interested persons under the Investment Company Act of 1940.
- D. an employee of the company
Correct Answer: C 🗳️
Explanation: Only visible for TorrentExam members. You can sign-up / login (it's free).
Which of the following is an example of a primary market transaction?
- A. Ms. Talker calls her broker and places a market order to sell shares of AT&T (T) on the NYSE.
- B. Mr. Safe purchases a Treasury bill with two weeks remaining to maturity.
- C. Mr. Green places an order to buy shares of Sunvalley Solar, Inc. (SSOL), a stock selling on the OTC
Bulletin Board. - D. Exco Resources (XCO) sells a new issue of 7.5%, 8-year notes.
Correct Answer: D 🗳️
Explanation: Only visible for TorrentExam members. You can sign-up / login (it's free).
Brian is single and 32 years old. He is employed as a buyer for a large sporting goods retail chain and
participates in an employer-matched 401(k) plan. He remembers hearing about the benefits of passively
managed portfolios in a college investments course he took. Therefore, he is directing 100% of his 401(k)
monies into an S&P 500 Index fund. He has also been investing all of his discretionary income into a
regular account with the same S&P 500 Index fund. Brian's goal is to retire no later than his 55th birthday.
Is this the best investment strategy for him?
- A. Yes. He is investing in a diversified portfolio of stocks that is passively managed, so he isn't having to
pay big management fees. - B. Both A and B are reasons that Brian's strategy is the best strategy for him.
- C. Yes. Because index funds are passively managed, they don't have as high a turnover rate, and lower
turnover rates result in lower tax bills for the investor. Brian gets diversification and a lower tax bill. - D. No. The S&P 500 Index consists only of large, domestic stocks, so Brian isn't as diversified as he could
be, and his investments may not grow fast enough for him to retire on his 55th birthday.
Correct Answer: D 🗳️
Explanation: Only visible for TorrentExam members. You can sign-up / login (it's free).
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