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FINRA Series6 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| 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
|
| Provides Customers with Information About Investments | 50% | - Investment company securities and variable contracts
|
| Seeks Business for the Broker-Dealer from Customers and Potential Customers | 24% | - Prospecting and communication with clients
|
FINRA Investment Company and Variable Contracts Products Representative Examination (IR) Sample Questions:
Which of the following persons is not permitted to open an investment account?
I. a general partnership
II. a corporation
III. the executor of an estate
IV. a 16-year-old entrepreneur
- A. I and II only
- B. I, II, and III only
- C. I, II, and IV only
- D. IV only
Correct Answer: D 🗳️
Explanation: Only visible for ExamTorrent members. You can sign-up / login (it's free).
A fund's transfer agent is responsible for:
I. calculating and distributing the capital gain and dividend income of the fund.
II. mailing shareholder account statements.
III. paying fund expenses.
- A. II only
- B. I and II only
- C. I only
- D. I, II, and III
Correct Answer: B 🗳️
Explanation: Only visible for ExamTorrent members. You can sign-up / login (it's free).
MBIA, Inc., a municipal bond insuring company, has a bond issue that is selling for $80.05 to yield 9.5%.
The bond has a coupon rate of 7%, with semiannual payments, and matures in 2025.If interest rates in
the economy increase, which of the following statements will be true, all else equal?
I. the nominal yield of the bond will increase.
II. the yield-to-maturity of the bond will increase.
III. the current yield of the bond will increase.
- A. II and III only
- B. I and II only
- C. I only
- D. I, II, and III
Correct Answer: A 🗳️
Explanation: Only visible for ExamTorrent members. You can sign-up / login (it's free).
When a broker-dealer hires a new agent, it must submit:
- A. a U-4 form that includes information about the agent's name, address, and employment history.
- B. a U-5 form that includes information about the agent's name, address, education, employment history,
and marital status. - C. a U-4 form that includes information about the agent's name, address, education, and employment
history. - D. an REP form that includes information about the agent's name, address, education, and employment
history.
Correct Answer: A 🗳️
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The price at which an investor can sell a security to a market maker in the over-the-counter market is
called the:
- A. ask price.
- B. sale price.
- C. put price.
- D. bid price.
Correct Answer: D 🗳️
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