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FINRA Series6 Exam Syllabus Topics:

FINRA Investment Company and Variable Contracts Products Representative Examination (IR) Sample Questions:

1. Which of the following statements regarding profit-sharing plans is false?

A) Employees are not permitted to make contributions of their own to a profit-sharing plan.
B) A profit-sharing plan must stipulate a minimum employer contribution that will be made, even in less
profitable years.
C) The employer can deduct contributions made to a profit-saving plan, within specific guidelines.
D) The withdrawals made by an employee from a profit-sharing plan are taxable as ordinary income.

2. Giant Investments, a family of mutual funds, is introducing a new fund. G iant has recently filed a
registration statement for the new fund with the SEC and is waiting for the SEC to declare the registration
statement effective. While it does so, Giant may:
I. place advertisements in financial publications that announce that a new fund is expected to be available
soon, along with Giant's contact information.
II. mail preliminary prospectuses to existing and prospective clients.
III. mail existing clients who have been pre-screened to determine that the fund's objectives are in line
with their investment objectives with information on the price they can lock in today to purchase the
shares once the registration statement is deemed effective.

A) I and II only
B) I only
C) I and III only
D) I, II, and III

3. Under the 1988 Insider and Securities Enforcement Act, a person convicted of insider trading can be
subject to:

A) up to 10 years in prison and a fine of either $1 million or up to 3 times the amount of profits gained or
losses avoided, whichever is greater.
B) up to 5 years in prison, a $150,000 fine, or both.
C) up to 10 years in prison and a fine of either $1.5 million or up to 150% of the amount of profits gained or
losses avoided, or both.
D) up to 10 years in prison and a fine of $1,500,000 or both.

4. A bond has a face value of $1,000, matures in 12 years, and pays an 4% coupon, with interest paid
semiannually. If the bond is priced to yield 3.5%, it is selling:

A) at a premium.
B) at par.
C) at its maturity value.
D) at a discount.

5. Common stock and preferred stock differ in that:

A) preferred stockholders will receive their part of the proceeds if the firm is liquidated before the common
shareholders receive anything.
B) common stock pays a fixed dividend while the dividend associated with preferred stock will typically
increase as the earnings of the firm increases.
C) preferred stockholders have more voting rights than the common stockholders of the firm.
D) the firm is legally mandated to make the dividend payments on its preferred stock; there is no legal
obligation to make dividend payments on its common stock.

Solutions: