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FINRA Series6 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Opens Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 16% | - Anti-money laundering (AML) and compliance - Customer identification and verification - Financial profile and investment objectives assessment - Account types and registration |
| Seeks Business for the Broker-dealer from Customers and Potential Customers | 24% | - Prospecting and identifying customer needs - Communications with the public and regulatory rules - Telemarketing and solicitation rules - Advertising and sales literature regulations |
| Provides Customers with Information About Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records | 50% | - Retirement plans and 529 savings plans - Suitability rules and recommendations - Recordkeeping and disclosure requirements - Product features, risks, costs, and tax considerations - Investment company products: mutual funds, UITs, closed-end funds - Variable contracts: variable annuities, variable life insurance |
| Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 10% | - Payment and settlement processes - Error resolution and correction procedures - Trade confirmations and account statements - Order entry and processing procedures |
FINRA Investment Company and Variable Contracts Products Representative Examination (IR) Sample Questions:
In 2008, Mr. Conservative bought a 1-year Treasury bill that was yielding 1.63%.The average annual rate
of inflation in 2008 was 3.85%.In this case:
- A. Mr. Conservative earned a nominal return of +2.22% on his investment.
- B. Mr. Conservative earned a real return of -2.22% on his investment.
- C. Mr. Conservative earned a real return of +1.63% on his investment.
- D. Mr. Conservative earned a nominal return of +3.85% on his T-bill investment.
Correct Answer: B 🗳️
Explanation: Only visible for DumpExam members. You can sign-up / login (it's free).
Your client has recently heard about "principal-protected funds" and has asked your advice. You should
tell her that:
I. the majority of principal-protected funds guarantee the investor's initial investment, less any front-end
load, even if the stock market falls.
II. it would not be a good investment if she thinks she will need the money within the next five to ten years.
III. it will beat the returns she could earn on an S&P 500 Index fund in most years.
IV. if she sells her shares at any time other than the maturity date specified, she could lose money if the
price per share has fallen.
- A. I, II, and IV only
- B. I and II only
- C. I and III only
- D. I only
Correct Answer: A 🗳️
Explanation: Only visible for DumpExam members. You can sign-up / login (it's free).
Which of the following investments would have the least interest rate risk?
- A. a 20-year, AAA-rated municipal bond
- B. a 15-year, AAA-rated corporate bond
- C. a 3-year Treasury STRIP
- D. a 6-month Treasury bill
Correct Answer: D 🗳️
Explanation: Only visible for DumpExam members. You can sign-up / login (it's free).
The primary difference between dealers and brokers is that:
- A. Both Choices B and C describe differences between dealers and brokers.
- B. dealers operate only in the bond market, while brokers conduct trades in stocks, bonds and options.
- C. dealers operate exclusively in the primary market whereas brokers operate only in the secondary
market. - D. dealers are market makers, who buy and sell out of their own inventory of securities, while brokers are
matchmakers, who match buyers with sellers.
Correct Answer: D 🗳️
Explanation: Only visible for DumpExam members. You can sign-up / login (it's free).
A type of preferred stock for which any dividends missed in prior years must be paid before common
shareholders may receive any dividends is referred to as:
- A. adjustable rate preferred.
- B. cumulative preferred.
- C. participating preferred.
- D. convertible preferred.
Correct Answer: B 🗳️
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