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

1. 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."

2. 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.

3. 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.

4. 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

5. 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.

Solutions: