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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, Huey, Dewey and Louie must all be registered as general securities representatives in
accordance with 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, 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.

2. Mary is interested in buying shares of the Lambchops Corporation, which sells over-the-counter. The
market maker with the best bid price--$3.15--is Veggie Investments. The market maker with the best ask
price--$3.27-is Carnivor Investments. Mary conducts trades in NYSE-listed stocks through her broker,
Omnivor and Associates. Given this scenario, which of the following statements is true?

A) Mary can buy shares of Lambchops Corporation at the bid price of $3.15 by contacting Veggie
Investments directly.
B) Mary can buy shares of Lambchops Corporation at the ask price of $3.27 by contacting Carnivor
Investments directly.
C) Mary can buy shares of Lambchops Corporation at the bid price of $3.15 by contacting Omnivor and
Associates.
D) Mary can buy shares of Lambchops Corporation at the ask price of $3.27 by contacting Omnivor and
Associates.

3. Which of the following is not required to be included in a management company's prospectus?

A) a statement of the investment objective of the company
B) the potential risks to which the company's investors are exposed
C) the financial statements of the company
D) the various fees charged by the company

4. A load mutual fund offers reduced load charges when an investor invests over $25,000 in the fund. Which
of the following can combine their funds in order to meet that breakpoint and get the reduced sales
charge?
I. Mr. and Mrs. Smith
II. Mrs. Smith and her 8-year-old daughter, Susie
III. Mr. Smith and his brother, Darwin
IV. The Smithereen Investment Club, of which Mr. and Mrs. Smith are co-chairpersons

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

5. NewWave Investments, a family of mutual funds, hires the star of a new motion picture about the
workings of Wall Street to provide a testimonial as part of NewWave's new television ad campaign. The
actor's financial adviser has, in fact, invested some of the actor's monies in NewWave's funds. NewWave
provides the actor with a script in which the actor explains the concept of dollar cost averaging to the
viewers. At the conclusion of the actor's explanation, the viewers are informed that the actor has been
paid for his testimonial, that his experience may not be representative of that of other clients, and that past
performance is no guarantee of future performance. Based on these facts:

A) NewWave has violated a FINRA rule stipulating that testimonial providers can receive no payment for
their testimonies.
B) NewWave has violated no rules; it has complied with all of FINRA's disclosure requirements.
C) NewWave has violated a FINRA rule that prohibits testimonials of public figures from being used in
advertisements.
D) NewWave has violated a FINRA rule requiring that any testimonial that contains a technical aspect
related to investing must be given by someone who has both the knowledge and experience to hold a
valid opinion on the topic.

Solutions: