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

1. 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

2. Which of the following share classes do not have front-end loads?

A) Class B
B) Class A
C) Neither Class B nor Class C shares have front-end loads.
D) Class C

3. HiTop Investments main office is located in the state of Colorado. A registered representative of the firm
sent out an e-mail to his clients, some of whom reside in other states, promoting the firm's Colorado
Municipal Bond Fund, which invests exclusively in bonds offered by the state and local governments of
Colorado. In the e-mail, the representative states, "These bonds provide income that is free from both
federal and state taxes and may also be free from local taxation, if any exists." Is this e-mail in violation of
any securities' laws?

A) Yes. Advertisements referring to a specific fund may not be distributed by electronic means.
B) Yes. The representative's statement that the "bonds provide income that is free from both federal and
state taxes and may also be free from local taxation, if any exists," is untrue.
C) Yes. A fund that invests only in bonds offered by state and local governments of one state may not be
sold to investors who reside in other states.
D) No. Since the fund invests exclusively in bonds offered by the state and local governments of Colorado,
the representative's statement contains no misstatement of fact.

4. Your client is trying to choose between a variable annuity and a fixed annuity. You can tell him that:
I. the fixed annuity will make guaranteed monthly payments, but has more purchasing power risk than a
variable annuity.
II. he can expect higher monthly payments from his fixed annuity during a bear market than he would get
from a variable annuity.
III. the earnings on both variable and fixed annuities grow tax-deferred.

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

5. Ms. Newbie is a registered representative with Savvy Investments and has recently gotten married.(Her
new name is Mrs. Newbie-Oldman.)Her husband has been a client of hers, and the couple now wants to
put her name on the account. In this case:

A) Both B and C are true statements.
B) Mrs. Newbie-Oldman's husband must provide written authorization to Savvy Investments for his new
bride to be included on the account.
C) Mrs. Newbie-Oldman must obtain written authorization from Savvy Investments to put her name on the
account.
D) Mrs. Newbie-Oldman may only share in the account to the extent that she deposits funds in the
account.

Solutions: