FINRA FINRA Certification Series6

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

1. A table providing detailed information on the various fees and expenses charged by a mutual fund can be
found in the fund's:

A) Statement of Additional Information (SAI. )
B) annual report.
C) financial statements.
D) prospectus.

2. Which of the following activities are prohibited by FINRA when a representative is selling shares of a
mutual fund?
I. recommending that a client purchase shares of a mutual fund prior to its ex-dividend date, so that the
client will receive the dividends when they are distributed unless this recommendation is justified by the
specific circumstances of the client
II. telling a client that a mutual fund that has only a contingent deferred sales charge is a no load fund
III. telling a client that the interest he earns on a municipal bond fund will be free from federal taxation
IV. refraining from placing the customer's order promptly in order to profit himself as a result of having
done so

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

3. Doc purchased shares of the MedTech Fund at its net asset value of $9.66 a share at the beginning of the
year. The fund distributed dividends of $0.12 a share and capital gains of $0.10 a share during the year.
The net asset value at the end of the year was $12.00. The fund's total return was:

A) 26.5%.
B) 21.3%.
C) 25.5%.
D) 10.1%.

4. The dividends distributed by which of the following are taxed as ordinary income?

A) mutual funds
B) IBM
C) closed-end investment companies
D) real estate investment trusts

5. Anna Lyst observes that the beta of a certain stock is 0.8. This means that:

A) the stock is 80% more volatile than the S&P 500 Index.
B) the stock is riskier than the overall market.
C) if the S&P 500 Index loses 10%, this stock can be expected to lose 8%.
D) if the S&P 500 Index is up 10%, this stock can be expected to lose 8%.

Solutions:

Question # 1 Answer: D

Question # 2 Answer: D

Question # 3 Answer: A

Question # 4 Answer: D

Question # 5 Answer: C