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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 have more voting rights than the common stockholders of the firm.
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 will receive their part of the proceeds if the firm is liquidated before the common
shareholders receive anything.

2. The compensation records that FINRA member firms are required to maintain must include which of the
following?
I. the names of the persons that have provided the compensation
II. names of the associated persons receiving the compensation
III. the amount of cash received
IV. the nature and value (if known) of any non-cash compensation received

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

3. Ms. Scatty is a registered representative with a well-known family of mutual funds. When selling one of
the funds, she forgets to give her buyer a prospectus. Which of the following statements is true?

A) Both A and B are true statements.
B) Ms. Scatty can be held civilly liable under the Securities Act of 1933.
C) Since mutual funds are not covered under the Securities Act of 1933, there is no liability in this
instance.
D) Ms. Scatty can be held criminally liable under the Securities Act of 1933.

4. GoForBroke Investments has registered with the SEC to be a market maker in certain NASDAQ-listed
securities. In order to be able to enter bid and ask quotes for the securities in which it is going to make a
market, GoForBroke must subscribe to which level of NASDAQ?

A) Level III
B) Level I
C) Level IV
D) Level II

5. Mr. Fast Lane met an early death at the age of 42. Mr. Lane had been making contributions to a variable
annuity contract for several years, and at the time of his death, his contributions totaled $25,000.Although
the value of the contract had at one time reached $40,000, earnings included, a downturn in the market
has resulted in a contract value of only $23,000.How much will Mr. Lane's beneficiaries receive as the
death benefit associated with this contract under these circumstances?

A) nothing, since the contract now has a value that is less than Mr. Lane's total contributions
B) the average of what its value once was and what it is today: $31,500
C) $23,000
D) $25,000

Solutions: