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

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

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

2. The board of directors of a mutual fund is responsible for:
I. authorizing purchases and sales of securities made by the fund.
II. approving the fund's contract with its investment adviser.
III. ensuring that the fund complies with federal securities laws regarding such issues as 12b-1 fees.
IV. establishing the fund's dividend and capital gains policy.

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

3. Which of the following activities are prohibited by FINRA when a representative is selling shares of a
mutual fund?
I. recommending that a client purchase shares of a mutual fund prior to its ex-dividend date, so that the
client will receive the dividends when they are distributed unless this recommendation is justified by the
specific circumstances of the client
II. telling a client that a mutual fund that has only a contingent deferred sales charge is a no load fund
III. telling a client that the interest he earns on a municipal bond fund will be free from federal taxation
IV. refraining from placing the customer's order promptly in order to profit himself as a result of having
done so

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

4. An ADR is:

A) a certificate of deposit offered by a foreign bank that is denominated in U.S. dollars.
B) a bond issued by an American firm that is denominated in dollars, but is sold to foreign investors.
C) another name for bankers' acceptances.
D) a receipt designating ownership of shares of a foreign stock that are held in a trust.

5. Which of the following are fiscal policy tools under the jurisdiction of the U.S. Congress?

A) the decision on the amount of cash reserves that a bank must hold
B) the decision on whether to raise or lower the rate at which banks can borrow money from the Federal
Reserve.
C) Both A and B are fiscal policy tools.
D) the decision on whether to raise or lower effective tax rates

Solutions: