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

1. A discretionary account authorization permits a registered representative to decide:

A) what specific asset to purchase or sell.
B) how much of an asset to buy or sell for the account.
C) all of the above.
D) whether to make a purchase or a sale.

2. Giant Investments mass mails a single-page, glossy flyer that lists the types of mutual funds it offers,
along with a general explanation of what the investment objective of each type of fund is. The flyer also
prominently provides Giant's contact information. Given these facts:

A) the brochure will be subject to spot checks by FINRA and will need to be kept on file.
B) Giant Investments must submit a copy of this brochure within 10 days of its initial distribution date to
FINRA.
C) None of the above statements is true.
D) a principal of Giant Investments must sign (or initial) and date the brochure, giving it his official
approval.

3. 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, and III only
B) II only
C) I and II only
D) I, II, III, and IV

4. Ms. Mix always assures her clients that she will be calling them with quarterly recommendations for
rebalancing their portfolios if there are any changes that she feels are appropriate. This has worked out
well for her pocketbook since she has always been able to tweak each of her clients' investment portfolios
a little each quarter by recommending that they redeem their shares in one fund that hasn't performed as
well in the last quarter and use the proceeds to invest in another that has. Her clients feel cared for since
she is in such regular contact with them. Is Ms. Mix violating any securities regulations with this policy of
hers?

A) Yes. Mutual funds are not designed to be short-term investments.
B) Yes. Any recommendation that benefits a registered representative is deemed to be in violation of
FINRA's rules regarding fair dealing.
C) It depends. There is no violation as long as her clients' portfolios are increasing in value.
D) No. Ms. Mix is merely providing good service to her customers.

5. Which of the following statements regarding profit-sharing plans is false?

A) A profit-sharing plan must stipulate a minimum employer contribution that will be made, even in less
profitable years.
B) The employer can deduct contributions made to a profit-saving plan, within specific guidelines.
C) The withdrawals made by an employee from a profit-sharing plan are taxable as ordinary income.
D) Employees are not permitted to make contributions of their own to a profit-sharing plan.

Solutions: