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FINRA Series6 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 10% | - Error resolution and correction procedures - Order entry and processing procedures - Trade confirmations and account statements - Payment and settlement processes |
| Opens Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 16% | - Anti-money laundering (AML) and compliance - Account types and registration - Financial profile and investment objectives assessment - Customer identification and verification |
| Provides Customers with Information About Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records | 50% | - Product features, risks, costs, and tax considerations - Recordkeeping and disclosure requirements - Retirement plans and 529 savings plans - Variable contracts: variable annuities, variable life insurance - Suitability rules and recommendations - Investment company products: mutual funds, UITs, closed-end funds |
| Seeks Business for the Broker-dealer from Customers and Potential Customers | 24% | - Telemarketing and solicitation rules - Communications with the public and regulatory rules - Advertising and sales literature regulations - Prospecting and identifying customer needs |
FINRA Investment Company and Variable Contracts Products Representative Examination (IR) Sample Questions:
Steve Sharp sees a quote for a mutual fund that indicates the fund has a net asset value (NAV) of $26.60
and a public offering price (POP) of $28.00. Based on this, Mr. Sharp quickly ascertains that this fund
must have:
- A. a front-end load of 5.3%.
- B. either a front-end or rear-end load of 5.3%.
- C. either a front-end or rear-end load of 5.0%.
- D. a front-end load of 5.0%.
Correct Answer: D 🗳️
Explanation: Only visible for PassCollection members. You can sign-up / login (it's free).
Tex Payor has invested in Invest4U Mutual Fund shares at various times over the last eight years. In the
past year, he has sold some of the shares purchased. To determine the cost basis of these shares, Tex:
- A. can choose to sell specific shares in order to minimize or maximize his cost basis, whichever is more
beneficial given his tax circumstances. - B. should use dollar cost averaging to determine his cost basis.
- C. must use first in/ first out (FIFO) accounting to determine his cost basis.
- D. must use last in/first out (LIFO) accounting to determine his cost basis.
Correct Answer: A 🗳️
Explanation: Only visible for PassCollection members. You can sign-up / login (it's free).
Which of the following statements about 1035 exchanges are true?
I. A 1035 exchange refers to the exchange of all of the shares owned in one mutual fund for shares of
another mutual fund in the same family of funds.
II. A 1035 exchange refers to the exchange of one variable annuity contract for another variable annuity
contract without the need to pay tax on any of the income or capital appreciation associated with the
original contract.
III. A 1035 exchange refers to the exchange of a variable annuity contract for a whole life insurance policy
offered by the same company with no tax consequences to the transaction.
- A. II only
- B. I only
- C. I, II, and III
- D. I and II only
Correct Answer: A 🗳️
Explanation: Only visible for PassCollection members. You can sign-up / login (it's free).
Asset allocation involves:
- A. determining the specific stocks and bonds in which your client should invest his funds.
- B. selecting the investments that are expected to offer the highest return over your client's investment
horizon. - C. selecting the investments that will expose your client to the least amount of risk.
- D. determining the percentages that your client should be investing in various types of investments (e.g.,
stocks, bonds) based on his investment objectives.
Correct Answer: D 🗳️
Explanation: Only visible for PassCollection members. You can sign-up / login (it's free).
You have a young client whose primary investment objective is to be able to retire early. Really early.
She's thinking 40.She has more than sufficient income to meet her current needs for cash. Which of the
following types of stock funds would be most suitable for her?
- A. balanced
- B. All of the above. All stock funds invest in stocks, which can be expected to appreciate in value.
- C. growth
- D. value
Correct Answer: C 🗳️
Explanation: Only visible for PassCollection members. You can sign-up / login (it's free).
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