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Diversified choices

Our company has persisted in inner-reformation and renovation to meet the requirement of the diversified production market, what's more, our company always follows the basic principle: first service, first quality, however it is obvious that different people have different preferences, thus we have prepared three different versions of our FINRA Investment Company and Variable Contracts Products Representative Examination (IR) practice questions. If you are used to study with paper-based materials, the PDF version is available for you which is convenient for you to print. If you would like to get the mock test before the real Investment Company and Variable Contracts Products Representative Examination (IR) exam you can choose the software version, and if you want to study in anywhere at any time, our online APP version is your best choice since you can download it in any electronic devices.

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

1. Ms. Newbie has recently become licensed as a registered representative and is disappointed to discover
no clients standing in line at the door to her office at Savvy Investments. She decides she simply must
take on a second job in order to pay the rent. The fitness club to which she belongs is advertising for a
weekend receptionist, and the club manager has told her the job is hers if she wants it. Given this
scenario, Ms. Newbie:

A) can accept the job since it only entails weekend work, which does not conflict with the hours she works
as a registered representative.
B) must provide a written notice to Savvy Investments and await the firm's approval before accepting the
job.
C) can accept the job without any restrictions. She is not tied to Savvy by ball and chain, and her work as
a receptionist at a fitness club does not have anything to do with the financial industry.
D) can accept the job only if she tells her supervisor at Savvy that she will be working weekends.

2. Which of the following does not fall under the category of "sales literature," as defined by FINRA?

A) Reprints of an article that appeared in a financial publication about a specific mutual fund
B) a research report mailed only to a fund's existing clients
C) PowerPoint slides that have been prepared to use in a seminar
D) an announcement containing some biological information on a registered representative who has just
joined the firm

3. Which of the following statements regarding the tax treatment of variable annuity contracts is false?

A) If an investor opts to receive regular payments of a specific amount-i.e., annuities-part of each
payment will be considered repayment of principal and will not be subject to taxation.
B) An investor who makes a withdrawal prior to having reached the age of 62 1/2 will be subject to a 10%
penalty on the withdrawal.
C) If an investor opts to make a random, partial, lump sum withdrawal, the entire amount of the withdrawal
will be taxed as ordinary income to the investor.
D) Earnings on the contributions to a variable annuity are not taxed during the accumulation phase.

4. 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) 62 and older
C) 60 and older
D) 55 and older

5. Which of the following are included in the expense ratio of a fund?
I. 12b-1 fees
II. brokerage costs incurred by the fund when it buys and sells securities
III. redemption fees
IV. management fees

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

Solutions: