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FINRA Series6 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Provides Customers with Information About Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records | 50% | - Variable contracts: variable annuities, variable life insurance - Retirement plans and 529 savings plans - Suitability rules and recommendations - Recordkeeping and disclosure requirements - Product features, risks, costs, and tax considerations - Investment company products: mutual funds, UITs, closed-end funds |
| Seeks Business for the Broker-dealer from Customers and Potential Customers | 24% | - Telemarketing and solicitation rules - Communications with the public and regulatory rules - Advertising and sales literature regulations - Prospecting and identifying customer needs |
| Opens Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 16% | - Customer identification and verification - Anti-money laundering (AML) and compliance - Financial profile and investment objectives assessment - Account types and registration |
| Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 10% | - Error resolution and correction procedures - Order entry and processing procedures - Payment and settlement processes - Trade confirmations and account statements |
FINRA Investment Company and Variable Contracts Products Representative Examination (IR) Sample Questions:
Jack purchased a new bond of the Candlestick Corporation for its face value of $1,000.The bond has a
coupon rate of 3.5%, makes semiannual interest payments, and matures in fifteen years. A year after
purchasing the bond, Jack needs to sell the bond to offset some major expenses he incurred when his
home caught on fire. Interest rates in the economy at this time have fallen to 3.0%.Given this scenario,
when Jack sells the bond, he can expect to receive which of the following?
- A. more than what he originally paid for the bond.
- B. $965, which is what he paid for the bond less the $35 in interest he received during his year of owning
the bond. - C. exactly what he paid for the bond.
- D. less than what he originally paid for the bond.
Correct Answer: A 🗳️
Explanation: Only visible for RealVCE members. You can sign-up / login (it's free).
A warrant differs from a standard call option in that:
- A. a warrant gives the holder the right to sell shares of the underlying stock; a call option gives the holder
the right to buy shares of the underlying stock. - B. when a warrant is exercised, the firm whose stock is being purchased will have an increase in cash;
this is not the case when a standard call option is exercised. - C. a standard call option generally has a longer period to expiration than a warrant.
- D. when a call option is exercised, the outstanding shares of the firm whose stock is being purchased
increases; this does not occur when a warrant is exercised.
Correct Answer: B 🗳️
Explanation: Only visible for RealVCE members. You can sign-up / login (it's free).
Patty Planner has been contributing a sum to a non-qualified variable annuity each month for the last
fifteen years in order to reach her ultimate goal of an early retirement. Now that she has turned 60, Patty
has decided to retire. Her annuity is now worth $69,000, and her total contributions were $36,000.Patty
decides to withdraw $15,000 of her accumulation as a lump sum to fund an extended vacation to Europe
that she has always promised herself. Which of the following statements applies to Patty's situation?
- A. Her $15,000 withdrawal will be taxed as ordinary income to her at her marginal tax rate.
- B. Her $15,000 withdrawal will be taxed as capital gain income, at a preferential rate, but she will also
have to pay a 10% penalty for withdrawing the funds prior to turning 62. - C. Her $15,000 withdrawal is not taxable since it is less than the amount of her total contributions to the
plan, but she will be subject to a 10% penalty for early withdrawal. - D. Her $15,000 withdrawal will be taxable as ordinary income to her at her marginal tax rate, and she will
also be subject to a 10% penalty for early withdrawal.
Correct Answer: A 🗳️
Explanation: Only visible for RealVCE members. You can sign-up / login (it's free).
Which of the following statements regarding a Coverdell Education Savings Plan (ESA) are true?
I. There are income limitations regarding those who may contribute to an ESA.
II. There is a maximum annual aggregate amount that can be contributed to a single beneficiary's
account.
III. Contributions to an ESA are tax deductible.
IV. The monies must be used prior to the beneficiary's 30th birthday for education-related expenses in
order to avoid paying both taxes and a penalty.
- A. I and II only
- B. I, II, and IV only
- C. I and III only
- D. I, II, III, and IV
Correct Answer: B 🗳️
Explanation: Only visible for RealVCE 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. Ari may either sue Savvy in a civil court of law or submit his claim to arbitration.
- B. 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. - C. Ari has six years to submit his claim to arbitration.
- D. both B and C are true statements.
Correct Answer: C 🗳️
Explanation: Only visible for RealVCE members. You can sign-up / login (it's free).
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