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FINRA Series6 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Provides Customers with Information About Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records | 50% | - Product features, risks, costs, and tax considerations - Retirement plans and 529 savings plans - Investment company products: mutual funds, UITs, closed-end funds - Suitability rules and recommendations - Recordkeeping and disclosure requirements - Variable contracts: variable annuities, variable life insurance |
| Seeks Business for the Broker-dealer from Customers and Potential Customers | 24% | - Communications with the public and regulatory rules - Prospecting and identifying customer needs - Advertising and sales literature regulations - Telemarketing and solicitation rules |
| Opens Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 16% | - Anti-money laundering (AML) and compliance - Customer identification and verification - Account types and registration - Financial profile and investment objectives assessment |
| Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 10% | - Trade confirmations and account statements - Error resolution and correction procedures - Order entry and processing procedures - Payment and settlement processes |
FINRA Investment Company and Variable Contracts Products Representative Examination (IR) Sample Questions:
Which of the following statements regarding the taxes associated with a variable life insurance policy is
false?
- A. Payments to beneficiaries upon the death of the policyholder are taxed as ordinary income.
- B. One variable life policy can be exchanged for another variable life policy without triggering any tax
consequences under Section 1035 of the tax code. - C. If a policyholder withdraws some of the cash value associated with the policy, taxes need only be paid
on the amount that exceeds the totalamount of the premiums paid to date. - D. Earnings on a variable life insurance policy grow tax-free.
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When the U.S. dollar appreciates relative to other world currencies,
I. the prices of all domestic stocks and bonds can be expected to increase.
II. the prices of securities offered by manufacturers that import a lot of their parts can be expected to
increase.
III. an increase in the purchase of U.S. securities by foreign investors can be expected.
- A. II only
- B. I and II only
- C. I, II, and III
- D. III only
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Which of the following statements regarding the purchase and redemption of mutual fund shares is false?
- A. If an investor places an order to buy or redeem shares of a mutual fund before 4 P.M.EST on a day
when the markets are open, the price will be based on the fund's net asset value (NAV), as calculated at
the end of that trading day. - B. When an investor redeems his shares, the mutual fund must pay for the shares within 7 business days.
- C. Mutual fund shares may not be purchased on margin.
- D. An investor can both purchase and sell fractional shares of mutual funds.
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Jake's Uncle Zeke gave Jake and his new bride 100 shares of the stock of Southwest Airlines (LUV) when
they got married. Uncle Zeke had paid $16.60 for the stock several years earlier, but it was selling for only
$ 12.10 on the day of the wedding. Jake and his bride are unimpressed with the stock's performance a few
months later and decide to sell it for $11.00, its market price at that point. What are the tax consequences
of the sale for the newly wedded couple?
- A. Jake and his bride will have a short-term capital loss of $560 to offset other income.
- B. Jake and his bride will have a long-term capital loss of $560 to offset other income.
- C. Jake and his bride will have a long-term capital loss of $110 to offset other income.
- D. Jake and his bride will have neither a taxable gain nor a capital loss to declare.
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The profile of the Invesco Utilities Fund stipulates that 80% of its funds will normally be invested in stocks
of firms in utilities-related industries. This suggests that the Invesco Utilities Fund is:
- A. a non-diversified investment company.
- B. both A and B.
- C. a sector fund.
- D. an asset allocation fund.
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