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

1. Which of the following would be required to register as an investment company?
I. a non-diversified management company
II. a unit investment trust
III. a face-amount certificate company

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

2. Marshall's employer offers a 403(b) plan, and Marshall must decide into which of several mutual fund
alternatives the contributions will be invested. Regardless of other factors, which of the following would
clearly not be a good choice?

A) a fund that invests in stocks that are expected to experience high growth
B) a fund that invests almost exclusively in high-tech stocks
C) a municipal bond fund
D) a fund that invests in both foreign and domestic stocks

3. Any person who willfully acts in violation of the Securities Act of 1933, or any SEC rule, is subject to a
penalty of:

A) 5 years in prison or a $10,000 fine, or both.
B) 5 years in prison or a $5,000 fine, or both.
C) 10 years in prison or a $25,000 fine, or both.
D) 10 years in prison or a $10,000 fine, or both.

4. In order for the Invest4U Mutual Fund to qualify as a regulated investment company under Internal
Revenue Code Subchapter M, it must:

A) Both A and B are required for Invest4U to qualify as a regulated investment company.
B) invest at least 75% of its monies in diversified securities.
C) distribute at least 98% of its net income from capital gains to its shareholders.
D) distribute at least 90% of its net investment income to its shareholders.

5. Giant Investments mass mails a single-page, glossy flyer that lists the types of mutual funds it offers,
along with a general explanation of what the investment objective of each type of fund is. The flyer also
prominently provides Giant's contact information. Given these facts:

A) a principal of Giant Investments must sign (or initial) and date the brochure, giving it his official
approval.
B) Giant Investments must submit a copy of this brochure within 10 days of its initial distribution date to
FINRA.
C) the brochure will be subject to spot checks by FINRA and will need to be kept on file.
D) None of the above statements is true.

Solutions: