FINRA Series6 Q&A - in .pdf
- Exam Code: Series6
- Exam Name: Investment Company and Variable Contracts Products Representative Examination (IR)
- Updated: Sep 13, 2026
- Q & A: 325 Questions and Answers
- PDF Price: $49.99
- Printable FINRA Series6 PDF Format. It is an electronic file format regardless of the operating system platform.
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FINRA Series6 Q&A - Testing Engine
- Exam Code: Series6
- Exam Name: Investment Company and Variable Contracts Products Representative Examination (IR)
- Updated: Sep 13, 2026
- Q & A: 325 Questions and Answers
- Install on multiple computers for self-paced, at-your-convenience training.
- PC Test Engine Price: $49.99
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FINRA Series6 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Seeks Business for the Broker-Dealer from Customers and Potential Customers | 24% | - Prospecting and communication with clients
|
| Topic 2: Opens Accounts After Obtaining and Evaluating Customer Financial Profile | 16% | - Customer account types and documentation
|
| Topic 3: Provides Customers with Information About Investments | 50% | - Investment company securities and variable contracts
|
| Topic 4: Obtains and Verifies Customers' Purchase and Sales Instructions | 10% | - Order processing and transaction procedures
|
FINRA Investment Company and Variable Contracts Products Representative Examination (IR) Sample Questions:
The stock of Nutrisystem, Inc. (NTRI) is selling for $17.70 when Miss Piggy places a limit order to buy the
stock at $17.65. During the period the order is open, NTRI falls to $17.60 and then increases to
$ 17.67.Which of the following statements is most likely to be true in this scenario?
- A. Miss Piggy bought NTRI at $17.67 a share.
- B. Miss Piggy bought the stock for no more than $17.65 a share.
- C. Miss Piggy bought the stock for no more than $17.60 a share.
- D. Miss Piggy bought the stock for $17.66 a share.
Correct Answer: B 🗳️
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Clem Shyster is a registered representative with a family of mutual funds. A married couple in their 50s
sought his advice about how they should best invest an $80,000 profit that they had received when they
sold a rental property they owned for a number of years. Their investment profile indicated to Clem that
their main investment objective was capital appreciation and that they were willing to accept moderate
levels of risk. Clem advised them to invest $10,000 in eight different growth funds, each of which had a
7 % front-end load. Has Clem violated any securities laws with his recommendation?
- A. Yes. There is a lot of overlap of the individual stocks in which growth funds invest, so recommending
that they spread their funds among eight different growth funds has not provided them with significantly
more diversification, and it has cost them more to do so, which will benefit Clem. - B. Yes. Clem should have advised them to invest in funds that had a deferred sales charge instead of a
front-end load. - C. Yes. Although growth funds provide some amount of capital appreciation, Clem should have
recommended that they spread their money among eight different aggressive growth funds instead, to
achieve even greater capital appreciation. - D. No. Growth funds invest in stocks that are selected to provide the capital appreciation that Clem's
clients need, and an investment in eight such funds will provide them with maximum risk diversification.
Correct Answer: A 🗳️
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Under current tax law, in order for the profits from the sale of any investment to be considered long-term
capital gain income, the investment must have been held for:
- A. longer than 6 months.
- B. longer than 18 months.
- C. longer than 24 months.
- D. longer than 12 months.
Correct Answer: D 🗳️
Explanation: Only visible for Prep4sureGuide members. You can sign-up / login (it's free).
The Invest4U Mutual Fund is a regulated investment company under Internal Revenue Code Subchapter
M. This means that:
- A. Invest4U is a non-diversified management company.
- B. Invest4U is a UIT.
- C. Invest4U does not itself have to pay taxes on any dividend or capital gain income it receives and
distributes to its shareholders. - D. Invest4U must submit an annually-updated prospectus to the IRS as well as to the SEC.
Correct Answer: C 🗳️
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Which of the following statements regarding the tax treatment of variable annuity contracts is false?
- A. 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. - B. 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. - C. Earnings on the contributions to a variable annuity are not taxed during the accumulation phase.
- D. 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.
Correct Answer: B 🗳️
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