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

1. Mr. Donald is the owner and CEO of Just Ducky Broker-Dealers. His wife, Ms. Daisy handles all the
ministerial duties for the firm. The firm has three other employees. Huey is the municipal bond specialist
and handles client trades in municipal securities only; Dewey handles only mutual fund sales for clients;
Louie handles all aspects of client trading in stocks, corporate bonds, and options. Which of the following
statements regarding the minimum FINRA registration requirements for these individuals is true?

A) Under FINRA rules, Mr. Donald must register as a principal, Dewey must be registered as a limited
securities representative, and Louie must be registered as a general securities representative. Daisy and
Huey need not be registered.
B) Mr. Donald, Ms. Daisy, Dewey and Louie must be registered as general securities representatives, and
Huey must be registered as a limited securities representative under FINRA rules.
C) Mr. Donald and Ms. Daisy must be registered as principals, and the other three must be registered as
general securities representatives under FINRA rules.
D) Mr. Donald, Huey, Dewey and Louie must all be registered as general securities representatives in
accordance with FINRA rules.

2. Ari Gaunt was affiliated with Savvy Investments and was terminated after some of the female
representatives associated with Savvy filed sexual harassment complaints against him. Mr. Gaunt
believes that he is still due money for some transactions he executed prior to his termination; Savvy
believes otherwise. Under FINRA's Code of Arbitration:

A) Ari may either sue Savvy in a civil court of law or submit his claim to arbitration.
B) if Ari submits his claim for arbitration and is unhappy with the panel's decision, he can then sue Savvy
in a civil court of law.
C) Ari has six years to submit his claim to arbitration.
D) both B and C are true statements.

3. Brian is single and 32 years old. He is employed as a buyer for a large sporting goods retail chain and
participates in an employer-matched 401(k) plan. He remembers hearing about the benefits of passively
managed portfolios in a college investments course he took. Therefore, he is directing 100% of his 401(k)
monies into an S&P 500 Index fund. He has also been investing all of his discretionary income into a
regular account with the same S&P 500 Index fund. Brian's goal is to retire no later than his 55th birthday.
Is this the best investment strategy for him?

A) Yes. He is investing in a diversified portfolio of stocks that is passively managed, so he isn't having to
pay big management fees.
B) Yes. Because index funds are passively managed, they don't have as high a turnover rate, and lower
turnover rates result in lower tax bills for the investor. Brian gets diversification and a lower tax bill.
C) No. The S&P 500 Index consists only of large, domestic stocks, so Brian isn't as diversified as he could
be, and his investments may not grow fast enough for him to retire on his 55th birthday.
D) Both A and B are reasons that Brian's strategy is the best strategy for him.

4. Which of the following is not included in calculating the expense ratio of a mutual fund?

A) 12b-1 fees
B) redemption fees
C) recordkeeping fees
D) management fees

5. Which of the following correctly describes a difference between closed-end and open-end investment
companies?

A) Open-end companies may invest in non-diversified portfolios; closed-end companies are required to
invest only in diversified portfolios.
B) Open-end investment companies have a fixed number of shares; closed-end companies can create
new shares if there are more buyers than sellers.
C) Open-end investment company shares will never be offered at a price below the net asset value per
share of the fund; this is not true of closed-end companies.
D) Shares of open-end companies sell on exchange floors; shares of closed-end companies are bought
and sold through the company itself.

Solutions: