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FINRA Series6 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Seeks Business for the Broker-dealer from Customers and Potential Customers | 24% | - Advertising and sales literature regulations - Telemarketing and solicitation rules - Prospecting and identifying customer needs - Communications with the public and regulatory rules |
| Topic 2: Opens Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 16% | - Account types and registration - Customer identification and verification - Anti-money laundering (AML) and compliance - Financial profile and investment objectives assessment |
| Topic 3: Provides Customers with Information About Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records | 50% | - Retirement plans and 529 savings plans - Recordkeeping and disclosure requirements - Investment company products: mutual funds, UITs, closed-end funds - Variable contracts: variable annuities, variable life insurance - Suitability rules and recommendations - Product features, risks, costs, and tax considerations |
| Topic 4: Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 10% | - Trade confirmations and account statements - Payment and settlement processes - Error resolution and correction procedures - Order entry and processing procedures |
FINRA Investment Company and Variable Contracts Products Representative Examination (IR) Sample Questions:
Which of the following would be the most suitable investment for a client who has retired and needs some
current income to augment her social security check?
- A. variable life policy
- B. money market fund
- C. growth fund
- D. U.S. government bond fund
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A passive asset allocation strategy that involves establishing specific targeted percentages for the various
asset classes and rebalancing only as necessary to maintain those percentages as long as the investor's
investment objectives remain unchanged is called:
- A. interactive asset allocation.
- B. dynamic asset allocation.
- C. tactical asset allocation.
- D. strategic asset allocation.
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Which of the following statements about the over-the-counter market is true?
- A. Only bonds and other debt instruments are traded in the over-the-counter market.
- B. Trades in the over-the-counter market are conducted via the auction process.
- C. Only penny stocks are traded in the over-the-counter market.
- D. Stocks that are listed on exchange floors are also traded in the over-the-counter market.
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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.
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A new issue of common stock can be classified in which of the following categories?
I. primary market
II. money market
III. secondary market
IV. capital market
- A. II and III only
- B. I and IV only
- C. III only
- D. I only
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