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FINRA Series6 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Seeks Business for the Broker-Dealer from Customers and Potential Customers | 24% | - Topics in communications, marketing, and solicitation activities |
| Provides Customers with Information About Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records | 50% | - Product information, suitability, recordkeeping and transfers |
| Opens Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 16% | - Account opening procedures and financial profile evaluation |
| Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 10% | - Transaction processing and verification |
FINRA Investment Company and Variable Contracts Products Representative Examination (IR) Sample Questions:
Under current tax laws, which of the following distributions received from a mutual fund qualify for
preferential tax treatment?
I. short-term capital gains
II. long-term capital gains
III. qualifying dividends
IV. non-qualifying dividends
- A. III only
- B. II and III only
- C. I, II, and III only
- D. I, II, III, and IV
Correct Answer: B 🗳️
Explanation: Only visible for VCE4Plus members. You can sign-up / login (it's free).
Ms. Fortune died at the relatively young age of 60. Which of the following options are available to her
6 5-year-old spouse, the beneficiary of her IRA?
I. withdraw the entire balance in a single lump sum
II. continue to make contributions to the IRA as if it were his own
III. roll his deceased wife's IRA into an existing IRA that he owns
- A. I only
- B. I and II only
- C. I and III only
- D. I, II, and III
Correct Answer: D 🗳️
Explanation: Only visible for VCE4Plus members. You can sign-up / login (it's free).
Which of the following statements about non-qualified employer-sponsored retirement plans is false?
- A. The plan may be either funded or unfunded.
- B. The plan does not have to abide by ERISA's vesting requirements.
- C. An employer does not have to offer the plan to all employees over 21 years old.
- D. The earnings on the plan's contributions remain untaxed until they are withdrawn.
Correct Answer: D 🗳️
Explanation: Only visible for VCE4Plus members. You can sign-up / login (it's free).
Mr. B. Beard started making regular investments in a mutual fund with the goal of financing a five-year
circumnavigation on his 40-foot sailboat, "Pirate's Lady." He is getting ready to depart and wants to set up
an automatic withdrawal plan such that the money he has invested will see him through his
circumnavigation, with nothing remaining in the account at the end. Which of the systematic withdrawal
plans will best fit his needs?
- A. fixed-dollar plan
- B. fixed-time plan
- C. fixed-share plan
- D. fixed-percentage plan
Correct Answer: B 🗳️
Explanation: Only visible for VCE4Plus members. You can sign-up / login (it's free).
Ms. Newbie, a registered representative employed by Savvy Investments, has received a letter of
complaint from a client that Ms. Newbie believes is unfair and illegitimate. More specifically, she believes
that the complaint misstates the facts. Under these circumstances, Ms. Newbie:
- A. must provide a copy of the complaint to Savvy Investments, who can decide whether or not to ignore
the letter after hearing Ms. Newbie's side of the story. - B. can toss the complaint in the trash.
- C. must provide a copy of the complaint to Savvy Investments, who is required to respond to the
complaint in writing and to keep a record of it. - D. must respond to the complaint in writing.
Correct Answer: C 🗳️
Explanation: Only visible for VCE4Plus members. You can sign-up / login (it's free).
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