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

1. Which of the following actions will result in a taxable event for Tex Payor, an investor in the Invest4U
Mutual Fund?
I. Tex sells some of his shares of the fund at a profit.
II. Tex exchanges some of his shares in Invest4U for shares of another fund in the same family of funds.
III. Tex opts to reinvest any dividend or capital gain income he might have received in the fund to buy
additional shares of the fund in lieu of receiving a check from the fund.

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

2. The MaxCharge fund has a 5% front-end load and a 12b-1 fee that is 0.25% of its average net assets.
Under these conditions, any rear-end load it may have is limited to:

A) 4.75%.
B) 2.00%.
C) 4.25%.
D) 3.25%.

3. Ms. Mix always assures her clients that she will be calling them with quarterly recommendations for
rebalancing their portfolios if there are any changes that she feels are appropriate. This has worked out
well for her pocketbook since she has always been able to tweak each of her clients' investment portfolios
a little each quarter by recommending that they redeem their shares in one fund that hasn't performed as
well in the last quarter and use the proceeds to invest in another that has. Her clients feel cared for since
she is in such regular contact with them. Is Ms. Mix violating any securities regulations with this policy of
hers?

A) Yes. Mutual funds are not designed to be short-term investments.
B) No. Ms. Mix is merely providing good service to her customers.
C) It depends. There is no violation as long as her clients' portfolios are increasing in value.
D) Yes. Any recommendation that benefits a registered representative is deemed to be in violation of
FINRA's rules regarding fair dealing.

4. Which of the following statements about mutual funds is false?

A) Mutual funds are organized under state law.
B) Mutual funds issue redeemable shares.
C) Mutual funds may be organized as corporations, statutory trusts, or partnerships.
D) Mutual funds may be either actively or passively managed.

5. A new issue of common stock can be classified in which of the following categories?
I. primary market
II. money market
III. secondary market
IV. capital market

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

Solutions: