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FINRA Series6 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Provides Customers with Information About Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records | 50% | - Recordkeeping and disclosure requirements - Retirement plans and 529 savings plans - Variable contracts: variable annuities, variable life insurance - Product features, risks, costs, and tax considerations - Investment company products: mutual funds, UITs, closed-end funds - Suitability rules and recommendations |
| Topic 2: Seeks Business for the Broker-dealer from Customers and Potential Customers | 24% | - Telemarketing and solicitation rules - Prospecting and identifying customer needs - Communications with the public and regulatory rules - Advertising and sales literature regulations |
| Topic 3: Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 10% | - Order entry and processing procedures - Error resolution and correction procedures - Payment and settlement processes - Trade confirmations and account statements |
| Topic 4: Opens Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 16% | - Customer identification and verification - Financial profile and investment objectives assessment - Anti-money laundering (AML) and compliance - Account types and registration |
FINRA Investment Company and Variable Contracts Products Representative Examination (IR) Sample Questions:
Which of the following investments would have the least interest rate risk?
- A. a 15-year, AAA-rated corporate bond
- B. a 3-year Treasury STRIP
- C. a 20-year, AAA-rated municipal bond
- D. a 6-month Treasury bill
Correct Answer: D 🗳️
Explanation: Only visible for TestValid members. You can sign-up / login (it's free).
One difference between a SEP-IRA and a SIMPLE IRA is that:
- A. Only employers can make contributions to a SEP-IRA; both employees and employers can contribute
to a SIMPLE IRA. - B. The SEP-IRA has a higher contribution limit than that allowed by a traditional IRA or a Roth IRA, but
the SIMPLE IRA contribution limits are the same as that of a traditional IRA or a Roth IRA. - C. There is no difference; both names refer to the same type of IRA that is available to a small business or
a self-employed individual. - D. The contributions made to a SEP-IRA are tax deductible, which is not the case with a SIMPLE IRA.
Correct Answer: A 🗳️
Explanation: Only visible for TestValid members. You can sign-up / login (it's free).
Mr. Cashout recently sold some mutual fund shares that he owned. The sale resulted in long-term capital
gain income of $6,000. He also sold some shares of a stock he had purchased during the year and
realized a short-term capital gain on the sale of $2,000. The sale of another individual stock resulted in a
short-term capital loss of $3,500. Mr. Cashout also had some bonds that he had bought at a premium
mature, resulting in a long-term capital loss of $500. What is Mr. Cashout's net capital gain or loss from
these transactions?
- A. a net long-term capital gain of $8,000
- B. a net long-term capital gain of $4,000
- C. a net short-term capital loss of $4,000
- D. a net long-term capital gain of $4,500
Correct Answer: B 🗳️
Explanation: Only visible for TestValid members. You can sign-up / login (it's free).
Which of the following statements regarding profit-sharing plans is false?
- A. A profit-sharing plan must stipulate a minimum employer contribution that will be made, even in less
profitable years. - B. The employer can deduct contributions made to a profit-saving plan, within specific guidelines.
- C. Employees are not permitted to make contributions of their own to a profit-sharing plan.
- D. The withdrawals made by an employee from a profit-sharing plan are taxable as ordinary income.
Correct Answer: A 🗳️
Explanation: Only visible for TestValid members. You can sign-up / login (it's free).
A FINRA member who is a principal underwriter under the definition provided in the Investment Company
Act of 1940 is permitted to sell variable contracts through another broker-dealer only if:
I. the broker-dealer is also a FINRA member.
II. there is a sales agreement in effect between the underwriter and the broker-dealer.
III. the broker-dealer is also a principal underwriter as defined by the Investment Company Act of 1940.
- A. any one of the three statements-I, II, or III-are true.
- B. either I or II is true.
- C. both I and II are true.
- D. all three statements-I, II, and III-are true.
Correct Answer: C 🗳️
Explanation: Only visible for TestValid members. You can sign-up / login (it's free).
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