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

1. The Invest4U Mutual Fund is a regulated investment company under Internal Revenue Code Subchapter
M. This means that:

A) Invest4U does not itself have to pay taxes on any dividend or capital gain income it receives and
distributes to its shareholders.
B) Invest4U is a UIT.
C) Invest4U must submit an annually-updated prospectus to the IRS as well as to the SEC.
D) Invest4U is a non-diversified management company.

2. Mr. and Mrs. R. Retired are planning on traveling extensively throughout the U.S. in their new motor home
now that they have reached their golden years. Under FINRA rules, upon written instructions from Mr. and
Mrs. R. Retired, their broker is required to hold their mail for a maximum of:

A) 3 months.
B) 1 month.
C) none of the above. It is Mr. and Mrs. Retired's responsibility to establish a mail-hold through the post
office.
D) 2 months.

3. Your nephew has asked you to help him formulate a financial plan for his family. Scott is 27 years old and
has been employed as an associate with a law firm for two years. Sarah, his wife, is 26 years old and
works in the human resources department of a large corporation. The couple is childless now, but they
plan to begin a family in a few years. Together, they have accumulated $10,000 in a savings account and
recently inherited $40,000 cash. They expect to be able to start saving at least $5,000 annually since their
incomes more than meet their current needs. They each have employer-provided health insurance and
retirement plans. Both have excellent upward mobility potential in their careers. They currently pay taxes
at the marginal rate of 15%. Scott tells you that although they regularly read some of the more popular
financial investment magazines, neither feels particularly knowledgeable about the world of investments.
Based on this information, which of the following statements is true?

A) A greater than average percentage of their money should be invested in municipal bonds to minimize
their currently high tax bill.
B) Although some money should be allocated to bond funds for diversification purposes, bond funds
should be underweighted in favor of stock funds.
C) A greater than average percentage of their money should be invested in money market mutual funds to
meet their needs for liquidity.
D) Purchasing power risk is not an issue in their situation.

4. Which of the following portfolios best represents a suitable asset allocation for a risk-averse investor?
I. Cash/money market fund: 20%; government bonds: 10%; investment-grade bonds: 15%; foreign stocks:
1 0%; blue-chip stocks: 25%; high-yield bonds: 10%; small cap stocks: 10%
II. Cash/money market fund: 30%; government bonds: 20%; investment-grade bonds: 15%; foreign stocks:
3 %; blue-chip stocks: 25%; high-yield bonds: 0%; small cap stocks: 7%
III. Cash/money market fund: 10%; government bonds: 5%; investment- grade bonds: 10%; foreign stocks:
1 5%; blue-chip stocks: 25%; high-yield bonds: 10%; small cap stocks: 25%

A) III
B) II
C) I
D) None of the above; a risk-averse investor should be entirely invested in government securities and/or
money market funds.

5. Which of the following activities are permitted during the "cooling off" period associated with a new
offering?
I. A preliminary prospectus may be provided to prospective investors.
II. The security can be registered in any states in which it will be sold.
III. The management of the issuing firm may give interviews in which they discuss the market for their
products and future revenue expectations.
IV. The underwriter of the issue may run a tombstone advertisement in the Wall Street Journal to
announce the upcoming offering.

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

Solutions: