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

1. Common stock and preferred stock differ in that:

A) preferred stockholders will receive their part of the proceeds if the firm is liquidated before the common
shareholders receive anything.
B) the firm is legally mandated to make the dividend payments on its preferred stock; there is no legal
obligation to make dividend payments on its common stock.
C) common stock pays a fixed dividend while the dividend associated with preferred stock will typically
increase as the earnings of the firm increases.
D) preferred stockholders have more voting rights than the common stockholders of the firm.

2. Ari Gaunt was affiliated with Savvy Investments and was terminated after some of the female
representatives associated with Savvy filed sexual harassment complaints against him. Mr. Gaunt
believes that he is still due money for some transactions he executed prior to his termination; Savvy
believes otherwise. Under FINRA's Code of Arbitration:

A) Ari may either sue Savvy in a civil court of law or submit his claim to arbitration.
B) Ari has six years to submit his claim to arbitration.
C) if Ari submits his claim for arbitration and is unhappy with the panel's decision, he can then sue Savvy
in a civil court of law.
D) both B and C are true statements.

3. Mr. R. Retired recently turned 61 and has decided to annuitize a variable annuity contract in which he had
been investing. When he does so:

A) the value of his annuity units becomes fixed.
B) he will have to pay a 10% penalty for annuitizing the contract before he turned 62 1/2 .
C) his accumulation units will be converted into a fixed number of annuity units.
D) Both B and C are true statements.

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

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

5. Mr. Bashful, Mr. Sleepy, Mr. Doc, Mr. Grumpy, Mr. Sneezy, and Mr. Happy are all employees of S. White
Investment Advisers. Mr. Doc, Mr. Sneezy, and Mr. Happy give investment advice to the firm's clients and
manage their portfolios. Mr. Sleepy greets clients and makes cold calls to solicit more business for the
firm. Mr. Bashful performs general clerical services, such as filing. Mr. Grumpy is the office manager and
is the direct supervisor of the other five employees. Which of S. White's employees must register as
investment adviser representatives under the Investment Advisers Act of 1940?

A) All of them must register as investment adviser representatives.
B) Mr. Grumpy, Mr. Doc, Mr. Sneezy, Mr. Happy, and Mr. Sleepy
C) Mr. Grumpy, Mr. Doc, Mr. Sneezy, and Mr. Happy
D) only Mr. Grumpy

Solutions: