Investment Company and Variable Contracts Products Representative Examination (IR): Series6 Exam
"Investment Company and Variable Contracts Products Representative Examination (IR)", also known as Series6 exam, is a FINRA Certification. With the complete collection of questions and answers, PrepAwayPDF has assembled to take you through 325 Q&As to your Series6 Exam preparation. In the Series6 exam resources, you will cover every field and category in FINRA Certification Certification helping to ready you for your successful FINRA Certification.
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FINRA Series6 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Opens Accounts After Obtaining and Evaluating Customer Financial Profile | 16% | - Customer account types and documentation
|
| Provides Customers with Information About Investments | 50% | - Investment company securities and variable contracts
|
| Obtains and Verifies Customers' Purchase and Sales Instructions | 10% | - Order processing and transaction procedures
|
| Seeks Business for the Broker-Dealer from Customers and Potential Customers | 24% | - Prospecting and communication with clients
|
FINRA Investment Company and Variable Contracts Products Representative Examination (IR) Sample Questions:
Yvette is a recently-widowed 63-year-old. The couple had no children, and when her husband died, she
was the beneficiary of his $45,000 life insurance policy. She also receives benefits from his retirement
plan and social security, but this income falls about $300 short of covering her regular monthly expenses,
which includes a sizeable amount for health insurance. In the months since her husband's death, she sold
their larger home and purchased a condominium, netting $80,000 from the combined transactions. Yvette
was a homemaker all her life, and her husband handled all their finances, so Yvette is just learning how to
balance her checkbook. One thing she does know is that she is going to have to purchase a new car
within the next few months. Yvette is in good health and expects to live at least another 25 years. Which
of the following types of investments should be included in recommending an asset allocation to Yvette?
- A. life insurance policy
- B. money market fund
- C. municipal bond fund
- D. aggressive growth stock fund
Correct Answer: B 🗳️
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The entity that serves as the auctioneer for trades conducted on an organized exchange floor is known as
a:
- A. specialist.
- B. commission broker.
- C. floor broker.
- D. registered trader.
Correct Answer: A 🗳️
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Any person who willfully acts in violation of the Securities Act of 1933, or any SEC rule, is subject to a
penalty of:
- A. 10 years in prison or a $10,000 fine, or both.
- B. 10 years in prison or a $25,000 fine, or both.
- C. 5 years in prison or a $5,000 fine, or both.
- D. 5 years in prison or a $10,000 fine, or both.
Correct Answer: D 🗳️
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A preemptive right:
- A. is a feature on some preferred stock issues that allows the preferred shareholders to exchange their
preferred shares for shares of the common stock of the firm. - B. is a call option that is usually attached to a bond as a sweetener.
- C. entitles its owner to buy shares of stock at a specified price within a specified time period in order to
maintain his proportionate ownership in the firm. - D. gives a bond owner the option to sell the bond back to the issuer at a pre-specified price.
Correct Answer: C 🗳️
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Which of the following statements regarding a Coverdell Education Savings Plan (ESA) are true?
I. There are income limitations regarding those who may contribute to an ESA.
II. There is a maximum annual aggregate amount that can be contributed to a single beneficiary's
account.
III. Contributions to an ESA are tax deductible.
IV. The monies must be used prior to the beneficiary's 30th birthday for education-related expenses in
order to avoid paying both taxes and a penalty.
- A. I and II only
- B. I, II, and IV only
- C. I, II, III, and IV
- D. I and III only
Correct Answer: B 🗳️
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