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

1. Which of the following activities are prohibited by FINRA when a representative is selling shares of a
mutual fund?
I. recommending that a client purchase shares of a mutual fund prior to its ex-dividend date, so that the
client will receive the dividends when they are distributed unless this recommendation is justified by the
specific circumstances of the client
II. telling a client that a mutual fund that has only a contingent deferred sales charge is a no load fund
III. telling a client that the interest he earns on a municipal bond fund will be free from federal taxation
IV. refraining from placing the customer's order promptly in order to profit himself as a result of having
done so

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

2. The AGRO Mutual Fund invests in aggressive growth stocks of midcap corporations. The fund is running
an advertisement on the radio that informs the listeners that AGRO earned a 22% return last year while
the S&P 500 Index returned only 10%.The ad also contains information regarding how an interested
investor can contain a fund prospectus. Has AGROviolated any securities laws with this advertisement?

A) No. This would be considered a generic advertisement and not an offer to sell.
B) Yes. AGRO is required to provide information on the specific investments it made to earn that 22%
return, given that the return is unusually high.
C) Yes. Although AGRO provided the return on the S&P 500 as well as its own return, the S&P 500 Index
is comprised of average risk stocks and is not an appropriate benchmark for AGROto use.
D) No. In addition to providing the listeners with its own return last year, AGRO appropriately provided the
listeners with a benchmark return; thus there has been no violation of any laws.

3. Which of the following entities is eligible to establish a Keogh Plan?

A) Ms. Dee Ziner is the owner of an interior design company that is established as a sole proprietorship.
B) Mr. Hans Deutsch is the owner of a Subchapter S Corporation that imports only Bavarian-made goods.
C) Both A and C are eligible to establish a Keogh Plan.
D) Mr. Will Writer teaches English at a community college and does freelance writing to supplement his
income.

4. Which of the following steps in the underwriting process will occur last?

A) The selling group is organized.
B) The underwriting syndicate is formed.
C) The public offering price is set.
D) A red herring prospectus is circulated to the public.

5. Jake's Uncle Zeke gave Jake and his new bride 100 shares of the stock of Southwest Airlines (LUV) when
they got married. Uncle Zeke had paid $16.60 for the stock several years earlier, but it was selling for only
$ 12.10 on the day of the wedding. Jake and his bride are unimpressed with the stock's performance a few
months later and decide to sell it for $11.00, its market price at that point. What are the tax consequences
of the sale for the newly wedded couple?

A) Jake and his bride will have a short-term capital loss of $560 to offset other income.
B) Jake and his bride will have neither a taxable gain nor a capital loss to declare.
C) Jake and his bride will have a long-term capital loss of $560 to offset other income.
D) Jake and his bride will have a long-term capital loss of $110 to offset other income.

Solutions: