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FINRA Series6 Exam Syllabus Topics:

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

Question 1

Simple Simon owns 1,000 shares in the Pasty Pie Corporation, which has just declared a stock dividend
of 5%.Just prior to this announcement, Pasty Pie was selling for $10 a share. This announcement will:

A. increase Pasty's shares outstanding and reduce Simple's proportionate ownership in the firm.
B. increase the number of shares that Simple owns to 1,050, which will increase the market value of the
shares that he owns from $10,000 to $10,500.
C. increase the number of shares that Simple owns to 1,050, but this will not affect the market value of
Simple's holdings.
D. increase Simple's cash by the amount of the dividend paid: 0.05 x $10 = $0.50 x 1,000 shares = $500.

Question 2

Which of the following does not fall under the category of "sales literature," as defined by FINRA?

A. Reprints of an article that appeared in a financial publication about a specific mutual fund
B. an announcement containing some biological information on a registered representative who has just
joined the firm
C. PowerPoint slides that have been prepared to use in a seminar
D. a research report mailed only to a fund's existing clients

Question 3

One difference between investing in a variable annuity and in a mutual fund is that:

A. the fees and charges associated with investing in a mutual fund are much higher than those associated
with investing in a variable annuity contract.
B. Mutual fund investors have voting rights; owners of variable annuity contracts have no voting rights.
C. the variable annuity guarantees a minimum rate of return on your investment.
D. the premiums invested in a variable annuity grow tax-deferred.

Question 4

Which of the following is not a feature associated with an investment in preferred stock?

A. The preferred stock may be convertible to common stock.
B. Preferred shareholders usually have the right to vote on members of the board of directors, mergers,
and shareholder proposals.
C. The dividend is typically a fixed amount.
D. If a dividend payment is skipped, it must typically be made up before common shareholders can
receive any dividends.

Question 5

Jake's Uncle Zeke gave Jake and his new bride 100 shares of the stock of Southwest Airlines (LUV) when
they got married. Uncle Zeke had paid $16.60 for the stock several years earlier, but it was selling for only
$ 12.10 on the day of the wedding. Jake and his bride are unimpressed with the stock's performance a few
months later and decide to sell it for $11.00, its market price at that point. What are the tax consequences
of the sale for the newly wedded couple?

A. Jake and his bride will have a short-term capital loss of $560 to offset other income.
B. Jake and his bride will have neither a taxable gain nor a capital loss to declare.
C. Jake and his bride will have a long-term capital loss of $560 to offset other income.
D. Jake and his bride will have a long-term capital loss of $110 to offset other income.

Solutions: