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

1. Any compensation earned by a broker-dealer and its registered representative on the sale of mutual fund
shares must be returned to the fund's underwriter if the purchaser decides to redeem his shares within:

A) 5 business days.
B) 30 days.
C) 1 week.
D) 7 business days.

2. Which of the following securities laws regulates the organizational structure and day-to-day operations of
investment companies?

A) The Investment Advisers Act of 1940
B) The Securities Act of 1933
C) The Investment Company Act of 1940
D) The Securities Exchange Act of 1934

3. HiTop Investments main office is located in the state of Colorado. A registered representative of the firm
sent out an e-mail to his clients, some of whom reside in other states, promoting the firm's Colorado
Municipal Bond Fund, which invests exclusively in bonds offered by the state and local governments of
Colorado. In the e-mail, the representative states, "These bonds provide income that is free from both
federal and state taxes and may also be free from local taxation, if any exists." Is this e-mail in violation of
any securities' laws?

A) Yes. Advertisements referring to a specific fund may not be distributed by electronic means.
B) Yes. The representative's statement that the "bonds provide income that is free from both federal and
state taxes and may also be free from local taxation, if any exists," is untrue.
C) No. Since the fund invests exclusively in bonds offered by the state and local governments of Colorado,
the representative's statement contains no misstatement of fact.
D) Yes. A fund that invests only in bonds offered by state and local governments of one state may not be
sold to investors who reside in other states.

4. Which of the following describes a difference between a Roth IRA and a traditional IRA?
I. Anyone with earned income can contribute to a traditional IRA, but not everyone with earned income
can make contributions to a Roth IRA.
II. The contributions made to a traditional IRA may be tax deductible, but the contributions made to a Roth
IRA are never tax deductible.
III. Contributions made to a Roth IRA may be withdrawn without penalty at any time whereas contributions
to a traditional IRA may only be withdrawn without penalty when the contributor reaches 59 1/2 or if the
contributor meets some specific requirements (e.g., becomes disabled.)
IV. When a contributor to a traditional IRA turns 70 1/2 , he must begin making mandatory withdrawals, but
there are no mandatory withdrawals with a Roth IRA.

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

5. A FINRA member who is a principal underwriter under the definition provided in the Investment Company
Act of 1940 is permitted to sell variable contracts through another broker-dealer only if:
I. the broker-dealer is also a FINRA member.
II. there is a sales agreement in effect between the underwriter and the broker-dealer.
III. the broker-dealer is also a principal underwriter as defined by the Investment Company Act of 1940.

A) all three statements-I, II, and III-are true.
B) both I and II are true.
C) any one of the three statements-I, II, or III-are true.
D) either I or II is true.

Solutions: