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

1. The investment banker bears the risk if the securities do not sell in a(n):

A) firm commitment underwriting agreement.
B) best efforts agreement.
C) None of the above selections are correct. The investment banking firm is never exposed to risk if the
securities don't sell.
D) all-or-nothing commitment.

2. Tex Payor bought 1,500 shares of the Bonds4U Mutual Fund, a no load fund, on June 12th for $28 a
share and sold the shares the following year on June 11th for $40 a share. This will result in which of the
following tax consequences for Tex?

A) Tex will have to pay tax on $40,000, taxed as ordinary income at his marginal tax rate.
B) Tex will have to pay tax on $18,000 of capital gain income, taxed at the preferential rate for long-term
capital gains.
C) Tex will have to pay tax on $40,000 of capital gain income, taxed at the preferential rate for long-term
capital gains.
D) Tex will have to pay tax on $18,000, taxed as ordinary income at his marginal tax rate.

3. Which of the following is not one of the rules stipulated by the Securities Exchange Act of 1934?

A) All securities' exchanges and SROs are required to register with the SEC.
B) All brokers and dealers are required to be members of a national securities association.
C) Firms are required to send copies of their annual reports to investors before an annual meeting at
which directors are to be elected.
D) Investment companies are prohibited from using any sales literature that contains an omission of a
material fact.

4. 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, II, and III
B) I and II only
C) I and III only
D) I only

5. The "catch-up provision" that has been established for both the traditional and Roth IRAs applies to
people of what age?

A) 50 and older
B) 55 and older
C) 60 and older
D) 62 and older

Solutions: