FINRA Series6

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FINRA Series6 Exam Syllabus Topics:

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

1. Eddie and Edith open a JTWROS account with you. This means that:
I. You can accept a buy or sell order from either Eddie or Edith.
II. Any check that is drafted upon a request to withdraw funds can be written to either Eddie or Edith, or
both.
III. If either Eddie or Edith die, the account assets will pass to that individual's estate, based on his or her
percentage ownership of the account.
IV. Correspondence concerning the account can be sent to either Eddie or Edith.

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

2. Ms. Newbie is a registered representative with Savvy Investments and has recently gotten married.(Her
new name is Mrs. Newbie-Oldman.)Her husband has been a client of hers, and the couple now wants to
put her name on the account. In this case:

A) Mrs. Newbie-Oldman's husband must provide written authorization to Savvy Investments for his new
bride to be included on the account.
B) Mrs. Newbie-Oldman may only share in the account to the extent that she deposits funds in the
account.
C) Mrs. Newbie-Oldman must obtain written authorization from Savvy Investments to put her name on the
account.
D) Both B and C are true statements.

3. Giant Investments is introducing a new fund to its family of funds that it plans to name the Asian Fund.
Giant may do so only if:

A) the fund has a policy to invest at least 80% of its assets in investments that are economically tied to
Asian countries.
B) Giant may do so only if both B and C are true.
C) the fund's prospectus provides the specific criteria that will be used by the fund to select its
investments.
D) no other family of mutual funds has a fund with this name.

4. A fund's transfer agent is responsible for:
I. calculating and distributing the capital gain and dividend income of the fund.
II. mailing shareholder account statements.
III. paying fund expenses.

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

5. Common stock and preferred stock differ in that:

A) common stock pays a fixed dividend while the dividend associated with preferred stock will typically
increase as the earnings of the firm increases.
B) preferred stockholders will receive their part of the proceeds if the firm is liquidated before the common
shareholders receive anything.
C) the firm is legally mandated to make the dividend payments on its preferred stock; there is no legal
obligation to make dividend payments on its common stock.
D) preferred stockholders have more voting rights than the common stockholders of the firm.

Solutions: