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FINRA Series6 Exam Syllabus Topics:

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

Question 1

After a registration statement has been filed with the SEC, no offers to sell the security to the public can
be made for:

A. a minimum of 30 days unless the SEC grants an exception.
B. a maximum of 30 days.
C. a minimum of 20 days unless the SEC grants an exception.
D. a maximum of 20 days.

Question 2

Main Street Capital Corporation (MAIN) is registered as a non-diversified investment company under the
Investment Company Act of 1940.Based on this, which of the following statements regarding MAIN are
true?
I. MAIN may not invest more than 5% of its investment monies in any single issuer.
II. The net asset value of MAIN's shares is likely to fluctuate more than that of a diversified investment
company.
III. MAIN's returns are more likely to be affected by any single, specific economic occurrence or regulatory
change.

A. I and II only
B. I only
C. II and III only
D. I, II, and III

Question 3

Mr. Shortfall placed a market order to buy 100 shares of Google (GOOG) with GetErDone Broker-Dealers.
The market order was executed at $530 a share. In accordance with Regulation T:

A. Mr. Shortfall must pay for the purchased shares within 5 business days.
B. Mr. Shortfall must pay for the purchased shares within 3 business days.
C. Both B and C are true statements.
D. GetErDone can request an extension from FINRA or another SRO for Mr. Shortfall if he is unable to
pay for the shares within 5 business days.

Question 4

Which of the following are included in the expense ratio of a fund?
I. 12b-1 fees
II. brokerage costs incurred by the fund when it buys and sells securities
III. redemption fees
IV. management fees

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

Question 5

Which of the following is not a feature associated with an investment in preferred stock?

A. The dividend is typically a fixed amount.
B. The preferred stock may be convertible to common stock.
C. If a dividend payment is skipped, it must typically be made up before common shareholders can
receive any dividends.
D. Preferred shareholders usually have the right to vote on members of the board of directors, mergers,
and shareholder proposals.

Solutions: