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FINRA Series6 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Seeks Business for the Broker-Dealer from Customers and Potential Customers | 24% | - Prospecting and communication with clients
|
| Topic 2: Provides Customers with Information About Investments | 50% | - Investment company securities and variable contracts
|
| Topic 3: Opens Accounts After Obtaining and Evaluating Customer Financial Profile | 16% | - Customer account types and documentation
|
| Topic 4: Obtains and Verifies Customers' Purchase and Sales Instructions | 10% | - Order processing and transaction procedures
|
FINRA Investment Company and Variable Contracts Products Representative Examination (IR) Sample Questions:
Which of the following must be true for a fund to be called a "no load" fund?
I. The fund can have no front-end load.
II. The fund can have no contingent deferred sales charge.
III. The fund can charge no 12b-1 fees.
IV. The fund cannot charge investors an exchange fee.
- A. I, II, III, and IV must all be true.
- B. Only I must be true.
- C. I, II, and III must all be true.
- D. Only I and II must be true.
Correct Answer: D 🗳️
Explanation: Only visible for PassSureExam members. You can sign-up / login (it's free).
Mr. Shortfall placed a market order to buy 100 shares of Google (GOOG) with GetErDone Broker-Dealers.
The market order was executed at $530 a share. In accordance with Regulation T:
- A. Mr. Shortfall must pay for the purchased shares within 5 business days.
- B. Both B and C are true statements.
- C. Mr. Shortfall must pay for the purchased shares within 3 business days.
- D. GetErDone can request an extension from FINRA or another SRO for Mr. Shortfall if he is unable to
pay for the shares within 5 business days.
Correct Answer: B 🗳️
Explanation: Only visible for PassSureExam members. You can sign-up / login (it's free).
Which of the following would qualify as accredited investors for a Regulation D offering?
I. your 45-year-old, spinster aunt who has earned in excess of $200,000 annually over the last ten years
as a pediatric surgeon
II. your Uncle Miserly, who is reputed to have a net worth of $1.2 million
III. Tiny Brokers, a small broker-dealer with a single office in the state of Kentucky
IV. a trust containing assets that are valued between $3.5 and $4 million
- A. III and IV only
- B. II and IV only
- C. I, II, and III only
- D. I and II only
Correct Answer: C 🗳️
Explanation: Only visible for PassSureExam members. You can sign-up / login (it's free).
Joe Cool is a member of the All Greek Fraternity. A few of the alumni of his fraternity sat for the FINRA
Series 6 exam over the past couple of years and, using their cell phones, took pictures of the exam
questions. They forwarded these to their fraternity to be included in the test bank file the fraternity keeps
in its study room. Have there been any violations of FINRA/NASD rules in this instance?
- A. No. It is standard practice for sororities and fraternities to compile test banks of old exams, and since
the forwarded tests are not copies of an actual future exam that will be administered, there has been no
violation of any rules. - B. Both A and C are true statements.
- C. Yes. It is a violation of Rule 2110 for an exam-past or present-to be reproduced and distributed for
study purposes. - D. No. Rule 2110 only prohibits the reproduction and distribution of a previously administere d FINRA
exam for study purposes if the exams are being sold. As long as there is no compensation involved, a
violation has not been committed.
Correct Answer: C 🗳️
Explanation: Only visible for PassSureExam members. You can sign-up / login (it's free).
Which of the following is not required to be included in a management company's prospectus?
- A. the potential risks to which the company's investors are exposed
- B. the financial statements of the company
- C. the various fees charged by the company
- D. a statement of the investment objective of the company
Correct Answer: B 🗳️
Explanation: Only visible for PassSureExam members. You can sign-up / login (it's free).
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