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

1. Any compensation earned by a broker-dealer and its registered representative on the sale of mutual fund
shares must be returned to the fund's underwriter if the purchaser decides to redeem his shares within:

A) 5 business days.
B) 7 business days.
C) 30 days.
D) 1 week.

2. GoForBroke Broker-Dealers has distributed a list of ten mutual funds that it suggests are top-notch funds
worthy of recommendation by GoForBroke's agents. Coincidentally, all the funds on this list also happen
to be those that execute the majority of their trades through GoForBroke. Is GoForBroke in violation of
any FINRA rules?

A) Yes. GoForBroke is prohibited from selling shares of mutual funds that execute their trades through the
broker-dealer. This rule is in place to avoid conflicts of interest.
B) No. GoForBroke only distributed a list of fund names; it did not offer its agents any form of additional
compensation for selling the funds on that list.
C) No. As long as the list consists of more than five funds, GoForBroke has not violated any FINRA rules.
D) Yes. By distributing a list naming specific funds that coincidentally all happen to execute a lot of trades
through GoForBroke, the broker-dealer is violating FINRA's anti-reciprocal rule.

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) 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.
B) Yes. Advertisements referring to a specific fund may not be distributed by electronic means.
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) 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.

4. Brian is single and 32 years old. He is employed as a buyer for a large sporting goods retail chain and
participates in an employer-matched 401(k) plan. He remembers hearing about the benefits of passively
managed portfolios in a college investments course he took. Therefore, he is directing 100% of his 401(k)
monies into an S&P 500 Index fund. He has also been investing all of his discretionary income into a
regular account with the same S&P 500 Index fund. Brian's goal is to retire no later than his 55th birthday.
Is this the best investment strategy for him?

A) Yes. He is investing in a diversified portfolio of stocks that is passively managed, so he isn't having to
pay big management fees.
B) Yes. Because index funds are passively managed, they don't have as high a turnover rate, and lower
turnover rates result in lower tax bills for the investor. Brian gets diversification and a lower tax bill.
C) No. The S&P 500 Index consists only of large, domestic stocks, so Brian isn't as diversified as he could
be, and his investments may not grow fast enough for him to retire on his 55th birthday.
D) Both A and B are reasons that Brian's strategy is the best strategy for him.

5. Which of the following activities are permitted during the "cooling off" period associated with a new
offering?
I. A preliminary prospectus may be provided to prospective investors.
II. The security can be registered in any states in which it will be sold.
III. The management of the issuing firm may give interviews in which they discuss the market for their
products and future revenue expectations.
IV. The underwriter of the issue may run a tombstone advertisement in the Wall Street Journal to
announce the upcoming offering.

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

Solutions: