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FINRA Series6 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Provides Customers with Information About Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records | 50% | - Retirement plans and 529 savings plans - Product features, risks, costs, and tax considerations - Recordkeeping and disclosure requirements - Variable contracts: variable annuities, variable life insurance - Investment company products: mutual funds, UITs, closed-end funds - Suitability rules and recommendations |
| Seeks Business for the Broker-dealer from Customers and Potential Customers | 24% | - Telemarketing and solicitation rules - Advertising and sales literature regulations - Communications with the public and regulatory rules - Prospecting and identifying customer needs |
| Opens Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 16% | - Customer identification and verification - Anti-money laundering (AML) and compliance - Account types and registration - Financial profile and investment objectives assessment |
| Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 10% | - Trade confirmations and account statements - Error resolution and correction procedures - Payment and settlement processes - Order entry and processing procedures |
FINRA Investment Company and Variable Contracts Products Representative Examination (IR) Sample Questions:
A broker-dealer is required to file a Currency Transaction Report with the Treasury Department for:
- A. any cash transaction exceeding $10,000.
- B. any cash transaction exceeding $3,000.
- C. any transaction exceeding $10,000 in value.
- D. any transaction exceeding $5,000.
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Which of the following are included in the expense ratio of a fund?
I. 12b-1 fees
II. brokerage costs incurred by the fund when it buys and sells securities
III. redemption fees
IV. management fees
- A. I, III, and IV only
- B. I and IV only
- C. I, II, and IV only
- D. I, II, III, and IV
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In 2004, your Uncle Oscar purchased 300 shares of Hasbro, Inc. for $19 a share. Uncle Oscar died earlier
year and left his Hasbro stock to you. The stock was selling for $44 on the day he died, but by the time
you learned that you were the beneficiary of the stock, the price was $47. What is your cost basis in
Hasbro?
- A. $47
- B. $28
- C. $19
- D. $44
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Regulation D:
I. enables smaller firms to raise capital more quickly and more cheaply.
II. exempts the issuing firm from all disclosure requirements as long as the issue is being sold to no more
than five investors.
III. has restrictions regarding the resale of the securities being sold.
- A. I and III only
- B. I, II, and III
- C. I and II only
- D. I only
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Which of the following statements regarding the separate account of an insurance company is true?
- A. The separate account must register as an investment company under the Investment Company Act of
1 940. - B. The monies in the separate account are used to make payments to all the policyholders of the
company when a payment is triggered. - C. The separate account contains the monies from which the company pays its operating expenses, e.g.,
salaries, etc. - D. Funds from the separate account are used to make payments to fixed annuity investors.
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