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FINRA Series6 Exam Syllabus Topics:

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

Question 1

Which of the following statements regarding a unit investment trust (UIT) is false?

A. All UITs are established with a termination date.
B. UITs are actively managed.
C. Shares of UITs trade on exchange floors.
D. A UIT has a fixed number of shares.

Question 2

Mandatory guidelines for the prospectuses of which of the following are dictated by the Investment
Company Act of 1940?
I. mutual funds
II. closed-end investment companies
III. unit investment trusts
IV. variable contracts

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

Question 3

The primary difference between dealers and brokers is that:

A. dealers operate exclusively in the primary market whereas brokers operate only in the secondary
market.
B. Both Choices B and C describe differences between dealers and brokers.
C. dealers are market makers, who buy and sell out of their own inventory of securities, while brokers are
matchmakers, who match buyers with sellers.
D. dealers operate only in the bond market, while brokers conduct trades in stocks, bonds and options.

Question 4

Which of the following is not an auction market?

A. All of the above are auction markets.
B. NYSE
C. CHX
D. NASDAQ

Question 5

The "catch-up provision" that has been established for both the traditional and Roth IRAs applies to
people of what age?

A. 50 and older
B. 62 and older
C. 60 and older
D. 55 and older

Solutions: