FINRA Series6 Valid Dump : Investment Company and Variable Contracts Products Representative Examination (IR)

Series6 real exams

Exam Code: Series6

Exam Name: Investment Company and Variable Contracts Products Representative Examination (IR)

Updated: Jan 17, 2025

Q & A: 325 Questions and Answers

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

1. Ms. Newbie is a newly-minted registered representative. Mr. Oldman saunters into her office, becomes
infatuated with her, opens an account, and signs a document giving Ms. Newbie discretionary authority
over the account. Mr. Oldman is 68 years old, retired, lives on a fixed income, and pays taxes at the
lowest marginal tax rate available. His stated investment objectives are capital preservation and income.
Ms. Newbie invests 1/4 of his investment monies in a periodic-payment, deferred, variable annuity. Based
on these facts:

A) Although Ms. Newbie's asset allocation for Mr. Oldman is less than optimal, she is in no danger of
losing her license or any other penalty, given that she has been given discretionary authority over the
account.
B) Ms. Newbie has done a remarkable job as a newly-minted representative of allocating at least a fourth
of Mr. Oldman's funds appropriately.
C) Ms. Newbie has a reasonable sexual harassment case against Mr. Oldman for putting her in such a
position.
D) Ms. Newbie may lose her license before she gets started in the business for making an unauthorized
transaction.


2. Which of the following pieces of information may not be contained in a tombstone advertisement under
SEC rules?

A) the price of the offering
B) the type of business in which the issuing firm is engaged
C) the name and address of a place where a prospectus can be obtained
D) the name of the issuer


3. Which of the following statements about hedge funds is true?

A) They are fairly low risk since the portfolio managers use investment strategies designed to "hedge their
bets."
B) They are considered to be very liquid investments.
C) They have low management fees, like index funds.
D) They are not regulated by the Investment Company Act of 1940.


4. Ms. Newbie, a registered representative employed by Savvy Investments, has received a letter of
complaint from a client that Ms. Newbie believes is unfair and illegitimate. More specifically, she believes
that the complaint misstates the facts. Under these circumstances, Ms. Newbie:

A) must provide a copy of the complaint to Savvy Investments, who is required to respond to the
complaint in writing and to keep a record of it.
B) must respond to the complaint in writing.
C) must provide a copy of the complaint to Savvy Investments, who can decide whether or not to ignore
the letter after hearing Ms. Newbie's side of the story.
D) can toss the complaint in the trash.


5. Giant Investments filed a registration statement with the SEC for a new fund it wanted to introduce and
has received word that the registration statement is now effective. Based on this, Jack, a registered
representative with Giant Investments, can tell a client that:

A) the SEC warrants that there have been no misstatements of fact in the registration statement.
B) the SEC pronouncement on the effectiveness of the registration statement means only that the SEC
has deemed that enough information has been provided in the registration statement for the client to
judge the quality of the investment for himself.
C) because the SEC has recently approved the fund, it is likely to be a much safer investment than other,
older funds in the same fund category.
D) because the SEC has recently announced the fund's registration statement effective, the client can rest
assured that it is a sound long-term investment.


Solutions:

Question # 1
Answer: D
Question # 2
Answer: A
Question # 3
Answer: D
Question # 4
Answer: A
Question # 5
Answer: B

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