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

1. Jack is an investment adviser representative employed by Giant Investments, a family of mutual funds.
Jack has recently read an article posted on the web that he thinks explains some consequences of some
tax law changes that are being considered extremely well, and he e-mails his existing retail customers
with a summary of the salient facts of the article. Given these facts:

A) Both A and C are true statements regarding this situation.
B) Jack has violated FINRA rules if he did not first have a principal of Giant approve his e-mail prior to
hitting the send button.
C) Jack must submit a copy of the e-mail to a principal of the company, but he did not need to do so prior
to sending the e-mail.
D) a copy of the e-mail must be submitted to FINRA within 10 days of Jack's hitting the send button.

2. The entity that serves as the auctioneer for trades conducted on an organized exchange floor is known as
a:

A) specialist.
B) commission broker.
C) registered trader.
D) floor broker.

3. Ms. Newbie is a newly-minted registered representative. Mr. Oldman saunters into her office, becomes
infatuated with her, opens an account, and signs a document giving Ms. Newbie discretionary authority
over the account. Mr. Oldman is 68 years old, retired, lives on a fixed income, and pays taxes at the
lowest marginal tax rate available. His stated investment objectives are capital preservation and income.
Ms. Newbie invests 1/4 of his investment monies in a periodic-payment, deferred, variable annuity. Based
on these facts:

A) Although Ms. Newbie's asset allocation for Mr. Oldman is less than optimal, she is in no danger of
losing her license or any other penalty, given that she has been given discretionary authority over the
account.
B) Ms. Newbie may lose her license before she gets started in the business for making an unauthorized
transaction.
C) Ms. Newbie has a reasonable sexual harassment case against Mr. Oldman for putting her in such a
position.
D) Ms. Newbie has done a remarkable job as a newly-minted representative of allocating at least a fourth
of Mr. Oldman's funds appropriately.

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

5. Which of the following would not be required to display prominently the name of the member firm issuing
it?
I. sales literature distributed to an institutional investor
II. correspondence by a registered representative with her client
III. an advertisement to recruit new registered representatives

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

Solutions: