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FINRA Series6 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Opens Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 16% | - Account opening procedures and financial profile evaluation |
| Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 10% | - Transaction processing and verification |
| Provides Customers with Information About Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records | 50% | - Product information, suitability, recordkeeping and transfers |
| Seeks Business for the Broker-Dealer from Customers and Potential Customers | 24% | - Topics in communications, marketing, and solicitation activities |
FINRA Investment Company and Variable Contracts Products Representative Examination (IR) Sample Questions:
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. II and IV only
- C. I and III only
- D. I, II, and IV only
Correct Answer: D 🗳️
Explanation: Only visible for PassCollection members. You can sign-up / login (it's free).
The "statement of additional information" (SAI) that mutual funds and closed-end funds are required to
produce:
- A. must be sent to shareholders of the fund on at least a semiannual basis.
- B. must be provided to prospective investors whenever an offer to sell shares of these funds is made.
- C. usually contains some biographical information on the officers and directors of the fund.
- D. Both A and B are true statements.
Correct Answer: C 🗳️
Explanation: Only visible for PassCollection members. You can sign-up / login (it's free).
The board of directors of a mutual fund is responsible for:
I. authorizing purchases and sales of securities made by the fund.
II. approving the fund's contract with its investment adviser.
III. ensuring that the fund complies with federal securities laws regarding such issues as 12b-1 fees.
IV. establishing the fund's dividend and capital gains policy.
- A. I, II, III, and IV
- B. II, III, and IV only
- C. I and IV only
- D. I, II, and IV only
Correct Answer: B 🗳️
Explanation: Only visible for PassCollection members. You can sign-up / login (it's free).
Ms. Ears is an investment adviser representative. During lunch today, she overheard two men talking
about a hostile takeover that their firm was preparing to undertake. Based on this information, Ms. Ears
does not hesitate to advise the client she meets with immediately after lunch-Mrs. Clueless-- to invest a
sum of money in the firm the men had named as the target firm. Ms. Ears remembers that the price of
target firms, on average, increases significantly with an announcement of this sort, but she does not
inform Mrs. Clueless of the reason underlying her recommendation. Has there been any violation of
insider trading laws in this scenario, as described?
- A. Yes. In making a recommendation based on information that was not publicly available, Ms. Ears has
violated insider trading laws and is subject to both civil and criminal penalties. - B. No. Ms. Ears is not considered to be an insider of the company preparing the hostile takeover.
- C. No. The scenario does not suggest that Ms. Ears herself made any investment in the target firm, and
Mrs. Clueless was not made aware of the basis for Ms. Ears' recommendation. - D. Yes. Both Ms. Ears and the two men have violated insider trading laws. The two men are prohibited
from discussing such private information in a public setting, and Ms. Ears is prohibited from making a
recommendation based on that information.
Correct Answer: A 🗳️
Explanation: Only visible for PassCollection members. You can sign-up / login (it's free).
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. 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. - B. both B and C are true statements.
- C. Ari may either sue Savvy in a civil court of law or submit his claim to arbitration.
- D. Ari has six years to submit his claim to arbitration.
Correct Answer: D 🗳️
Explanation: Only visible for PassCollection members. You can sign-up / login (it's free).
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