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

1. Ms. Newbie, a registered representative employed by Savvy Investments, has received a letter of
complaint from a client that Ms. Newbie believes is unfair and illegitimate. More specifically, she believes
that the complaint misstates the facts. Under these circumstances, Ms. Newbie:

A) must provide a copy of the complaint to Savvy Investments, who can decide whether or not to ignore
the letter after hearing Ms. Newbie's side of the story.
B) can toss the complaint in the trash.
C) must respond to the complaint in writing.
D) must provide a copy of the complaint to Savvy Investments, who is required to respond to the
complaint in writing and to keep a record of it.

2. The "statement of additional information" (SAI) that mutual funds and closed-end funds are required to
produce:

A) usually contains some biographical information on the officers and directors of the fund.
B) must be sent to shareholders of the fund on at least a semiannual basis.
C) Both A and B are true statements.
D) must be provided to prospective investors whenever an offer to sell shares of these funds is made.

3. Sarah Bean is a registered representative with NewWave Investments, a family of mutual funds. She has
recommended one of NewWave's funds to a client and given him a prospectus. The prospectus provides
information about the fund's breakpoints and indicates that an investment of $25,000 or more will lead to
a reduced front-end load. The prospectus also clearly explains the details of a letter of intent. Sarah's
client invests $23,000 in the fund then and there without even opening the prospectus. Has Sarah violated
any of FINRA's rules of conduct?

A) No. Sarah properly provided her client with a prospectus prior to selling him shares of the fund.
B) Yes. Sarah is required to explain the concepts of breakpoints and letters of intent to her client.
C) Yes. Sarah is not permitted to accept funds from a client without the presence of her immediate
supervisor.
D) Yes. Sarah needed to tell her client that he would have to read through the prospectus to ensure he
understood all aspects of the investment before she could take any money from him.

4. 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 5% coupon and 10 years to maturity
B) a Treasury strip with 15 years to maturity
C) a zero-coupon corporate bond with 12 years to maturity
D) a bond with a 10% coupon and 5 years to maturity

5. Mr. Big of HiGrow Corporation needs more money to support the exceptional growth rate that his firm is
enjoying. He meets with BigFee Investment Banker, who agrees to handle the IPO for HiGrow.
Subsequently, InTheLoop Brokerage is tapped to be part of the selling group that will handle the sale of
the new stock to the public. In this example, the underwriter is:

A) BigFee Investment Banker
B) InTheLoop Brokerage
C) Mr. Big
D) HiGrow Corporation

Solutions: