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FINRA Series6 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Opens Accounts After Obtaining and Evaluating Customer Financial Profile | 16% | - Customer account types and documentation
|
| Obtains and Verifies Customers' Purchase and Sales Instructions | 10% | - Order processing and transaction procedures
|
| Seeks Business for the Broker-Dealer from Customers and Potential Customers | 24% | - Prospecting and communication with clients
|
| Provides Customers with Information About Investments | 50% | - Investment company securities and variable contracts
|
FINRA Investment Company and Variable Contracts Products Representative Examination (IR) Sample Questions:
Which of the following would qualify as accredited investors for a Regulation D offering?
I. your 45-year-old, spinster aunt who has earned in excess of $200,000 annually over the last ten years
as a pediatric surgeon
II. your Uncle Miserly, who is reputed to have a net worth of $1.2 million
III. Tiny Brokers, a small broker-dealer with a single office in the state of Kentucky
IV. a trust containing assets that are valued between $3.5 and $4 million
- A. II and IV only
- B. I, II, and III only
- C. I and II only
- D. III and IV only
Explanation: Only visible for Pass4suresVCE members. You can sign-up / login (it's free).
Which of the following portfolios best represents a suitable asset allocation for a risk-averse investor?
I. Cash/money market fund: 20%; government bonds: 10%; investment-grade bonds: 15%; foreign stocks:
1 0%; blue-chip stocks: 25%; high-yield bonds: 10%; small cap stocks: 10%
II. Cash/money market fund: 30%; government bonds: 20%; investment-grade bonds: 15%; foreign stocks:
3 %; blue-chip stocks: 25%; high-yield bonds: 0%; small cap stocks: 7%
III. Cash/money market fund: 10%; government bonds: 5%; investment- grade bonds: 10%; foreign stocks:
1 5%; blue-chip stocks: 25%; high-yield bonds: 10%; small cap stocks: 25%
- A. II
- B. I
- C. III
- D. None of the above; a risk-averse investor should be entirely invested in government securities and/or
money market funds.
Explanation: Only visible for Pass4suresVCE members. You can sign-up / login (it's free).
Total Investments, a family of mutual funds, has prepared some new PowerPoint slides that it will use at a
free financial planning seminar it offers to the general public. The new slides:
I. must be signed and dated by a registered principal of Total Investments.
II. must be filed with FINRA 10 business days prior to their first use.
III. must be kept in a separate file by Total for three years after the date of their first use.
- A. I, II, and III only
- B. I and III only
- C. I and II only
- D. I only
Explanation: Only visible for Pass4suresVCE members. You can sign-up / login (it's free).
Which of the following retirement plans requires the employer to match employee contributions in
accordance with specific guidelines?
- A. Section 457 plans
- B. 401(k) plans
- C. both A and B
- D. SIMPLE IRAs
Explanation: Only visible for Pass4suresVCE 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. must use first in/ first out (FIFO) accounting to determine his cost basis.
- B. can choose to sell specific shares in order to minimize or maximize his cost basis, whichever is more
beneficial given his tax circumstances. - C. must use last in/first out (LIFO) accounting to determine his cost basis.
- D. should use dollar cost averaging to determine his cost basis.
Explanation: Only visible for Pass4suresVCE members. You can sign-up / login (it's free).
Herbert 
Victoria 
Dana 
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Lynn 
Edison 
Amos 
Ophelia 
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Ron 
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Althea 
Basil 
Deborah 
Derrick 
Moira 
Hyman 
Theodore 
