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

1. Which of the following actions will result in a taxable event for Tex Payor, an investor in the Invest4U
Mutual Fund?
I. Tex sells some of his shares of the fund at a profit.
II. Tex exchanges some of his shares in Invest4U for shares of another fund in the same family of funds.
III. Tex opts to reinvest any dividend or capital gain income he might have received in the fund to buy
additional shares of the fund in lieu of receiving a check from the fund.

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

2. Which of the following is not a secured debt issue?

A) an equipment trust receipt
B) a subordinated debenture
C) a collateral trust receipt
D) a mortgage bond

3. A warrant differs from a standard call option in that:

A) a standard call option generally has a longer period to expiration than a warrant.
B) a warrant gives the holder the right to sell shares of the underlying stock; a call option gives the holder
the right to buy shares of the underlying stock.
C) when a call option is exercised, the outstanding shares of the firm whose stock is being purchased
increases; this does not occur when a warrant is exercised.
D) when a warrant is exercised, the firm whose stock is being purchased will have an increase in cash;
this is not the case when a standard call option is exercised.

4. 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) all three statements-I, II, and III-are true.
C) either I or II is true.
D) both I and II are true.

5. After three warnings, Honest Investments was forced to terminate Sly Conman, one of its representatives,
for making inaccurate statements when offering its mutual fund products to customers. Given this
scenario:

A) Honest must provide FINRA with an electronic notification of the termination within 48 hours and
provide a written copy of the submitted form to Mr. Conman within 30 days of the filing.
B) Honest must provide FINRA with an electronic notification of the termination within 48 hours and mail a
written copy of the submitted form to both FINRA and Mr. Conman within 14 days.
C) Honest must provide FINRA with an electronic notification of the termination within 48 hours and
provide a written copy of the submitted form to Mr. Conman within 10 business days.
D) Honest must provide FINRA with an electronic notification of the termination within 30 days and provide
a written copy of the submitted form to Mr. Conman within that same period of time.

Solutions: