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FINRA Series6 Exam Syllabus Topics:

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

1. Pete Prophet, the manager of a bond mutual fund, is expecting interest rates to increase. All else equal,
which of the following bonds would be the best investment under this assumption?

A) a bond with a 10% coupon and 5 years to maturity
B) a Treasury strip with 15 years to maturity
C) a bond with a 5% coupon and 10 years to maturity
D) a zero-coupon corporate bond with 12 years to maturity

2. Tex Payor purchased 1,000 shares of Stocks4U, a mutual fund with a 5% front-end load, on February
2 6th.The fund's net asset value on that date was $30.40 and its offer price was $32.Tex sold his shares
on March 15th of the following year for $45 a share. What were the tax consequences for Tex?

A) Tex must pay taxes on $13,000, which will be taxed at a preferential long-term capital gain rate under
current tax law.
B) Tex must pay taxes on $14,600, which will be taxed as ordinary income at Tex's marginal tax rate.
C) Tex must pay taxes on $14,600, which will be taxed at a preferential long-term capital gain rate under
current tax law.
D) Tex must pay taxes on $45,000, which will be taxed at a preferential long-term capital gain rate under
current tax law.

3. In mid-September, the stock of Oracle (ORCL) is selling for $25.60 a share. Ms. Hedge owns shares of
Oracle and buys a put option on the stock with a strike price of $27 that expires in October for $2.20 per
optioned share. Just prior to expiration, Oracle's stock is selling for $29. Ms. Hedge should:

A) let her option expire worthless.
B) exercise her option and sell Oracle for $27 a share.
C) exercise her option and buy more shares of Oracle for $27 a share.
D) exercise her option and sell Oracle for $29 a share.

4. 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) 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.
C) 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.
D) 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.

5. Which of the following statements about primary market transactions is true?

A) In a primary market transaction, the issuer of the security receives the proceeds from the sale of the
security.
B) A primary market transaction is defined as a transaction that is executed on either the NYSE or
NASDAQ. Transactions that take place on ECNs are secondary market transactions.
C) A primary market transaction refers to the trading of stocks; a secondary market transaction is defined
as a transaction that involves bonds.
D) Both A and B are true statements.

Solutions: