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

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

2. Which of the following portfolios best represents a suitable asset allocation for a risk-averse investor?
I. Cash/money market fund: 20%; government bonds: 10%; investment-grade bonds: 15%; foreign stocks:
1 0%; blue-chip stocks: 25%; high-yield bonds: 10%; small cap stocks: 10%
II. Cash/money market fund: 30%; government bonds: 20%; investment-grade bonds: 15%; foreign stocks:
3 %; blue-chip stocks: 25%; high-yield bonds: 0%; small cap stocks: 7%
III. Cash/money market fund: 10%; government bonds: 5%; investment- grade bonds: 10%; foreign stocks:
1 5%; blue-chip stocks: 25%; high-yield bonds: 10%; small cap stocks: 25%

A) None of the above; a risk-averse investor should be entirely invested in government securities and/or
money market funds.
B) I
C) III
D) II

3. Which of the following statements regarding a unit investment trust (UIT) is false?

A) All UITs are established with a termination date.
B) Shares of UITs trade on exchange floors.
C) UITs are actively managed.
D) A UIT has a fixed number of shares.

4. Sarah Slick is kicking herself for having bought the stock of Bounce, Inc.at a higher price than she needed
to have paid. She bought it at $50 a share on November 20th and watched its price drop during December.
Ms. Slick is confident that Bounce's stock price will bounce back (pun intended), but she decides that in
the meantime, she will sell her shares and use the realized capital loss to offset some of the capital
gains she has realized on other investments during the year. Thus, on December 30th, she sells her
shares of Bounce for $40 a share. During the first couple weeks of the new year, Sarah observes
Bounce's price creeping upward, and she buys the same number of shares she previously sold for $45 a
share on January 18th. Given this scenario, which of the following statements is true?

A) Although Sarah did not wait the requisite 30 days after her sale of Bounce shares to repurchase them,
she can still deduct her realized capital loss of $10 a share when calculating her taxes for that tax year
since her repurchase of the shares didn't occur until the following tax year.
B) The SEC may file civil charges against Sarah for engaging in an illegal "wash sale."
C) Because Sarah did not wait the requisite 30 days after her sale of Bounce shares to repurchase them,
she cannot deduct her realized capital loss of $10 a share when calculating her taxes for that tax year.
D) Because Sarah waited the requisite 30 days after purchase before selling her shares in Bounce, she
can deduct her realized capital loss of $10 a share when calculating her taxes for that tax year.

5. By investing in a diversified portfolio, an investor will:

A) eliminate all the market risk associated with his investment portfolio.
B) lower his risk and increase his expected return.
C) lower his risk without affecting his expected return.
D) lower both his risk and his expected return.

Solutions: