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FINRA Series6 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 10% | - Payment and settlement processes - Trade confirmations and account statements - Order entry and processing procedures - Error resolution and correction procedures |
| Topic 2: Opens Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 16% | - Account types and registration - Anti-money laundering (AML) and compliance - Financial profile and investment objectives assessment - Customer identification and verification |
| Topic 3: Provides Customers with Information About Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records | 50% | - Suitability rules and recommendations - Investment company products: mutual funds, UITs, closed-end funds - Recordkeeping and disclosure requirements - Retirement plans and 529 savings plans - Variable contracts: variable annuities, variable life insurance - Product features, risks, costs, and tax considerations |
| Topic 4: Seeks Business for the Broker-dealer from Customers and Potential Customers | 24% | - Prospecting and identifying customer needs - Telemarketing and solicitation rules - Communications with the public and regulatory rules - Advertising and sales literature regulations |
FINRA Investment Company and Variable Contracts Products Representative Examination (IR) Sample Questions:
In order for the Invest4U Mutual Fund to qualify as a regulated investment company under Internal
Revenue Code Subchapter M, it must:
- A. distribute at least 98% of its net income from capital gains to its shareholders.
- B. Both A and B are required for Invest4U to qualify as a regulated investment company.
- C. invest at least 75% of its monies in diversified securities.
- D. distribute at least 90% of its net investment income to its shareholders.
Correct Answer: B 🗳️
Explanation: Only visible for VCE4Plus members. You can sign-up / login (it's free).
Nancy invested $1,850 in the MidFee Mutual Fund, which has a 4% front-end load. The net asset value
(NAV) per share of the fund at the time of her purchase was $22.20.How many shares of the fund was
Nancy able to purchase?
- A. 80.13
- B. 80.00
- C. None of the above is correct.
- D. 83.33
Correct Answer: B 🗳️
Explanation: Only visible for VCE4Plus members. You can sign-up / login (it's free).
Which of the following would not be required to display prominently the name of the member firm issuing
it?
I. sales literature distributed to an institutional investor
II. correspondence by a registered representative with her client
III. an advertisement to recruit new registered representatives
- A. III only
- B. I only
- C. I and II only
- D. I, II, and III
Correct Answer: A 🗳️
Explanation: Only visible for VCE4Plus members. You can sign-up / login (it's free).
Dr. Floss has just earned his dental degree and wants to establish a private dental practice. He has had a
bit of sticker shock at the price of all the equipment this will require him to purchase. Because he still has
a large student loan to repay, he has been unable to borrow any money from his financial institution. To
raise capital, he decides to sell fifty ownership interests of $1,000 each to interested investors and takes
out a full page ad in a local newspaper to advertise this investment. In this scenario:
- A. Dr. Floss can be charged with criminal fraud under the provisions of the Securities Exchange Act of
1 934. - B. Dr. Floss has not violated any laws since these ownership interests do not fall under the definition of a
security. - C. Dr. Floss has not violated any laws since the notes have a face value of only $1,000 and he is selling
them to a maximum of 50 different investors. - D. Dr. Floss has violated the provisions of the Securities Act of 1933 and may face civil penalties.
Correct Answer: D 🗳️
Explanation: Only visible for VCE4Plus members. You can sign-up / login (it's free).
A broker-dealer is required to file a Currency Transaction Report with the Treasury Department for:
- A. any cash transaction exceeding $3,000.
- B. any cash transaction exceeding $10,000.
- C. any transaction exceeding $10,000 in value.
- D. any transaction exceeding $5,000.
Correct Answer: B 🗳️
Explanation: Only visible for VCE4Plus members. You can sign-up / login (it's free).
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