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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
|
| Provides Customers with Information About Investments | 50% | - Investment company securities and variable contracts
|
| Obtains and Verifies Customers' Purchase and Sales Instructions | 10% | - Order processing and transaction procedures
|
| 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:
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.
Correct Answer: D 🗳️
Explanation: Only visible for Real4Prep members. You can sign-up / login (it's free).
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
Correct Answer: B 🗳️
Explanation: Only visible for Real4Prep members. You can sign-up / login (it's free).
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
Correct Answer: B 🗳️
Explanation: Only visible for Real4Prep members. You can sign-up / login (it's free).
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
Correct Answer: A 🗳️
Explanation: Only visible for Real4Prep members. You can sign-up / login (it's free).
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.
Correct Answer: C 🗳️
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