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

1. Which of the following would qualify as accredited investors for a Regulation D offering?
I. your 45-year-old, spinster aunt who has earned in excess of $200,000 annually over the last ten years
as a pediatric surgeon
II. your Uncle Miserly, who is reputed to have a net worth of $1.2 million
III. Tiny Brokers, a small broker-dealer with a single office in the state of Kentucky
IV. a trust containing assets that are valued between $3.5 and $4 million

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

2. The Securities Exchange Act of 1934:
I. regulates the market for new issues.
II. delineates the registration requirements for investment advisers.
III. regulates secondary market activities.
IV. requires that officers and some other employees of member firms submit their fingerprints to the U.S.
attorney general's office.

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

3. Clem Shyster is a registered representative with a family of mutual funds. A married couple in their 50s
sought his advice about how they should best invest an $80,000 profit that they had received when they
sold a rental property they owned for a number of years. Their investment profile indicated to Clem that
their main investment objective was capital appreciation and that they were willing to accept moderate
levels of risk. Clem advised them to invest $10,000 in eight different growth funds, each of which had a
7 % front-end load. Has Clem violated any securities laws with his recommendation?

A) Yes. Although growth funds provide some amount of capital appreciation, Clem should have
recommended that they spread their money among eight different aggressive growth funds instead, to
achieve even greater capital appreciation.
B) No. Growth funds invest in stocks that are selected to provide the capital appreciation that Clem's
clients need, and an investment in eight such funds will provide them with maximum risk diversification.
C) Yes. Clem should have advised them to invest in funds that had a deferred sales charge instead of a
front-end load.
D) Yes. There is a lot of overlap of the individual stocks in which growth funds invest, so recommending
that they spread their funds among eight different growth funds has not provided them with significantly
more diversification, and it has cost them more to do so, which will benefit Clem.

4. The price at which an investor can sell a security to a market maker in the over-the-counter market is
called the:

A) put price.
B) ask price.
C) bid price.
D) sale price.

5. The Slippery Fund is a high-yield bond fund, which means it invests a substantial amount of its money in:

A) high-quality bonds.
B) bonds with an AAA rating.
C) investment-grade bonds.
D) junk bonds.

Solutions: