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FINRA Series6 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Opens Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 16% | - Customer identification and verification - Account types and registration - Anti-money laundering (AML) and compliance - Financial profile and investment objectives assessment |
| Seeks Business for the Broker-dealer from Customers and Potential Customers | 24% | - Telemarketing and solicitation rules - Communications with the public and regulatory rules - Prospecting and identifying customer needs - Advertising and sales literature regulations |
| Provides Customers with Information About Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records | 50% | - Recordkeeping and disclosure requirements - Variable contracts: variable annuities, variable life insurance - Investment company products: mutual funds, UITs, closed-end funds - Retirement plans and 529 savings plans - Product features, risks, costs, and tax considerations - Suitability rules and recommendations |
| Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 10% | - Payment and settlement processes - Error resolution and correction procedures - Order entry and processing procedures - Trade confirmations and account statements |
FINRA Investment Company and Variable Contracts Products Representative Examination (IR) Sample Questions:
The mortality guarantee of a variable annuity contract:
- A. None of the above is a true statement about the mortality guarantee of a variable annuity contract.
- B. guarantees that you can receive a monthly check of a specified amount as long as you live.
- C. guarantees a fixed death benefit amount will paid to your beneficiaries upon your death.
- D. guarantees that both you and a person you specify as your beneficiary will continue to receive
payments as long as one of the two of you is alive.
Correct Answer: A 🗳️
Explanation: Only visible for RealValidExam members. You can sign-up / login (it's free).
Mr. Cross wanders into your office with a $35,000 check that he has received from his recently-deceased
wife's insurance company and wants you to advise him how to invest it, since that is your job, as he puts it.
You ask him to fill out a standard investor profile questionnaire, but he refuses to do so. You offer to fill it
out for him, based on his answers to your verbal questions, but he still refuses and calls you a
"nibby-nose." Based on this, you can:
- A. allocate the $35,000 any way you choose since you have an uncooperative client.
- B. The advice provided in either Choice B or Choice C would be appropriate.
- C. advise him to invest the money in a money market mutual fund instead of holding it as cash.
- D. advise him to invest the money in an S&P 500 Index fund.
Correct Answer: C 🗳️
Explanation: Only visible for RealValidExam members. You can sign-up / login (it's free).
A bond has a face value of $1,000, matures in 12 years, and pays an 4% coupon, with interest paid
semiannually. If the bond is priced to yield 3.5%, it is selling:
- A. at par.
- B. at a premium.
- C. at a discount.
- D. at its maturity value.
Correct Answer: B 🗳️
Explanation: Only visible for RealValidExam members. You can sign-up / login (it's free).
Which of the following investor characteristics is inconsistent with an aggressive investment strategy?
I. short investment horizon
II. high risk tolerance
III. young
- A. I and II
- B. III only
- C. I only
- D. I, II, and III
Correct Answer: C 🗳️
Explanation: Only visible for RealValidExam members. You can sign-up / login (it's free).
Which of the following statements about mutual funds is false?
- A. Mutual funds issue redeemable shares.
- B. Mutual funds are organized under state law.
- C. Mutual funds may be either actively or passively managed.
- D. Mutual funds may be organized as corporations, statutory trusts, or partnerships.
Correct Answer: D 🗳️
Explanation: Only visible for RealValidExam members. You can sign-up / login (it's free).
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