Exam Name: Investment Company and Variable Contracts Products Representative Examination (IR)
Certification Provider: FINRA
Corresponding Certification: FINRA Certification
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Don't check for updates; receive them. Prep4away emails every new FINRA Investment Company and Variable Contracts Products Representative Examination (IR) version immediately upon release — 325 practice questions for the Series6 exam, free for 365 days.
FINRA Series6 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Provides Customers with Information About Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records | 50% | - Retirement plans and 529 savings plans - Investment company products: mutual funds, UITs, closed-end funds - Variable contracts: variable annuities, variable life insurance - Recordkeeping and disclosure requirements - Suitability rules and recommendations - Product features, risks, costs, and tax considerations |
| Topic 2: Seeks Business for the Broker-dealer from Customers and Potential Customers | 24% | - Telemarketing and solicitation rules - Advertising and sales literature regulations - Prospecting and identifying customer needs - Communications with the public and regulatory rules |
| Topic 3: Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 10% | - Payment and settlement processes - Order entry and processing procedures - Trade confirmations and account statements - Error resolution and correction procedures |
| Topic 4: Opens Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 16% | - Customer identification and verification - Financial profile and investment objectives assessment - Anti-money laundering (AML) and compliance - Account types and registration |
About the FINRA Series6 Exam: FAQ
Delivery is instant: payment triggers an automatic email within a minute — unlimited installations, and 24/7 customer assisting for any downloading or purchasing issue if nothing arrives within 2 hours. If you fail the corresponding Series6 exam within 60 days of purchase, choose your remedy: a full refund (scanned enrollment slip plus the official Score Report PDF within 2 days of the exam; processed within 7 days), waiting for the next updated version free, or a free change to two other equal-value dumps. Excluded: exams within 3 days of purchase, candidate names that don't match the payer, and free or expired products.
90 minutes for 55 (50 scored + 5 unscored pretest) questions. Fit the atmosphere in advance: timed sessions in the Prep4away online engine make the formal pace feel practiced, not pressured.
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The FINRA Investment Company and Variable Contracts Products Representative Examination (IR) is delivered Computer-based testing at authorized Prometric test centers — select whichever arrangement suits you when booking.
The FINRA Investment Company and Variable Contracts Products Representative Examination (IR) blueprint spans 4 domains — including Provides Customers with Information About Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records (50%), Seeks Business for the Broker-dealer from Customers and Potential Customers (24%), Opens Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives (16%). Let the weightings direct your spare-time review; the full outline above lists every subtopic.
Yes — download the free FINRA Investment Company and Variable Contracts Products Representative Examination (IR) demo and evaluate the material before paying. Purchases include 365 days of free updates, each new version emailed immediately upon release; renew afterward at 50% off.
Must be sponsored by a FINRA member firm; corequisite: pass the Securities Industry Essentials (SIE) exam Eligibility rules change periodically, so confirm the current requirements on the official page (official Series6 exam page) before registering.
Yes:
Courses give you the theory; the 325 practice questions for the FINRA Investment Company and Variable Contracts Products Representative Examination (IR) give you the rehearsal — every answer expert-verified.
The FINRA Investment Company and Variable Contracts Products Representative Examination (IR) is FINRA's certification exam for Investment Company and Variable Contracts Products Representative, at the Entry-level level. It validates job-ready skills, and passing it marks you as a verified professional. Related credentials include Securities Industry Essentials (SIE), Series 63, Series 66, Series 7.
$100 USD per attempt, 70% to pass. A retake costs the full fee again — effective preparation with the 325 practice questions for the Series6 exam is the economical path.
FINRA Investment Company and Variable Contracts Products Representative Examination (IR) Sample Questions:
Mr. Schaker hasn't been seeing a lot of clients these days with the recent market downturn-which means
he hasn't been generating any commissions, and commissions are his bread and butter. So, Mr. Schaker
does some Googling on his computer and notes that a prominent family of load funds has just introduced
a new global fund. Scribbling the name and contact information of the fund family on his notepad, he
begins calling his existing clients and promoting the new fund, encouraging his clients to redeem some
shares in their existing funds to invest in this fund. Has Mr. Schaker violated any securities laws?
- A. Yes. Mr. Schaker is recommending the fund to his existing clients to benefit himself, not them.
- B. No. Research indicates that new funds tend to offer abnormally high returns for the first 12 months of
their existence, so Mr. Schaker is doing his clients a favor even if he himself stands to profit. - C. No. In FINRA's rules regarding fair dealing with customers, the SRO clearly states that "This does not
mean that legitimate sales efforts in the securities business are to be discouraged. . . " - D. Yes. A registered representative should always refrain from recommending shares of a load fund;
trades involving load funds should always be "unsolicited."
Correct Answer: A 🗳️
Explanation: Only visible for Prep4away members. You can sign-up / login (it's free).
In 2008, Mr. Conservative bought a 1-year Treasury bill that was yielding 1.63%.The average annual rate
of inflation in 2008 was 3.85%.In this case:
- A. Mr. Conservative earned a real return of -2.22% on his investment.
- B. Mr. Conservative earned a real return of +1.63% on his investment.
- C. Mr. Conservative earned a nominal return of +2.22% on his investment.
- D. Mr. Conservative earned a nominal return of +3.85% on his T-bill investment.
Correct Answer: A 🗳️
Explanation: Only visible for Prep4away members. You can sign-up / login (it's free).
Which of the following statements regarding the "rights of accumulation" is true?
- A. A breakpoint must be reached within a 13-month period, at which point the accumulation period begins
anew. - B. All mutual funds that have front-end loads are required to allow their shareholders rights of
accumulation. - C. Reinvested dividends and capital gain distributions count toward reaching a breakpoint under the rights
of accumulation. - D. A letter of intent must be signed to activate the rights of accumulation.
Correct Answer: C 🗳️
Explanation: Only visible for Prep4away members. You can sign-up / login (it's free).
Which of the following activities are prohibited by FINRA when a representative is selling shares of a
mutual fund?
I. recommending that a client purchase shares of a mutual fund prior to its ex-dividend date, so that the
client will receive the dividends when they are distributed unless this recommendation is justified by the
specific circumstances of the client
II. telling a client that a mutual fund that has only a contingent deferred sales charge is a no load fund
III. telling a client that the interest he earns on a municipal bond fund will be free from federal taxation
IV. refraining from placing the customer's order promptly in order to profit himself as a result of having
done so
- A. I, II, III, and IV
- B. I and III only
- C. II and IV only
- D. I, II, and IV only
Correct Answer: D 🗳️
Explanation: Only visible for Prep4away members. You can sign-up / login (it's free).
Which of the following statements regarding the tax treatment of variable annuity contracts is false?
- A. Earnings on the contributions to a variable annuity are not taxed during the accumulation phase.
- B. 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. - C. 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. - D. 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.
Correct Answer: D 🗳️
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