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FINRA Series6 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Seeks Business for the Broker-Dealer from Customers and Potential Customers | 24% | - Prospecting and communication with clients
|
| Obtains and Verifies Customers' Purchase and Sales Instructions | 10% | - Order processing and transaction procedures
|
| Provides Customers with Information About Investments | 50% | - Investment company securities and variable contracts
|
| Opens Accounts After Obtaining and Evaluating Customer Financial Profile | 16% | - Customer account types and documentation
|
FINRA Investment Company and Variable Contracts Products Representative Examination (IR) Sample Questions:
1. On Friday, August 6th, the Board of Directors of Ecolab (ECI) announced that it would pay a dividend of
$ 0.155 a share to shareholders of record as of Tuesday, September 21st.The dividend checks were
scheduled to be mailed on Friday, October 15th. In this scenario, the payment date is:
A) Friday, August 6th.
B) Tuesday, September 21st.
C) Friday, September 17th.
D) none of the above.
2. Rank the following funds in order of their relative risk, from highest to lowest:
I. growth fund
II. high-yield bond fund
III. high-grade bond fund
IV. international fund
A) II, IV, I, III
B) IV, I, II, III
C) IV, II, I, III
D) I, IV, III, II
3. 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. A month later, you notice that
the stock is selling for $55 and decide to sell it. What is the tax consequence of this sale to you?
A) None of the above is the correct tax consequence of this sale.
B) $3,300, taxed as long-term capital gain income
C) $2,400 taxed as short-term capital gain income
D) $10,800, taxed as long-term capital gain income
4. After passing the Series 6 and becoming a registered representative, you will be able to execute
transactions in which of the following securities?
I. corporate stocks
II. mutual funds
III. corporate bonds
IV. variable contracts
A) II and IV only
B) II and III only
C) I, II, and IV only
D) I, II, III, and IV
5. Which of the following statements about non-qualified employer-sponsored retirement plans is false?
A) The plan does not have to abide by ERISA's vesting requirements.
B) An employer does not have to offer the plan to all employees over 21 years old.
C) The earnings on the plan's contributions remain untaxed until they are withdrawn.
D) The plan may be either funded or unfunded.
Solutions:
| Question # 1 Answer: D | Question # 2 Answer: B | Question # 3 Answer: B | Question # 4 Answer: A | Question # 5 Answer: C |
