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

1. The entity through whom investors buy and redeem mutual fund shares is the fund's:

A) principal underwriter.
B) transfer agent.
C) custodian.
D) investment adviser.

2. Yvette is a recently-widowed 63-year-old. The couple had no children, and when her husband died, she
was the beneficiary of his $45,000 life insurance policy. She also receives benefits from his retirement
plan and social security, but this income falls about $300 short of covering her regular monthly expenses,
which includes a sizeable amount for health insurance. In the months since her husband's death, she sold
their larger home and purchased a condominium, netting $80,000 from the combined transactions. Yvette
was a homemaker all her life, and her husband handled all their finances, so Yvette is just learning how to
balance her checkbook. One thing she does know is that she is going to have to purchase a new car
within the next few months. Yvette is in good health and expects to live at least another 25 years. Which
of the following types of investments should be included in recommending an asset allocation to Yvette?

A) money market fund
B) municipal bond fund
C) aggressive growth stock fund
D) life insurance policy

3. Which of the following statements regarding a mutual fund's expenses are true?

A) A mutual fund's record maintenance fees cannot exceed 0.25% of average net assets.
B) A mutual fund that has a front-end load cannot also charge 12b-1 fees.
C) The expense ratio of a mutual fund cannot exceed 1.0%.
D) A mutual fund family is prohibited from charging a fee when an investor exchanges his shares of one of
its funds for another.

4. Ms. Newbie, a registered representative employed by Savvy Investments, has received a letter of
complaint from a client that Ms. Newbie believes is unfair and illegitimate. More specifically, she believes
that the complaint misstates the facts. Under these circumstances, Ms. Newbie:

A) must respond to the complaint in writing.
B) must provide a copy of the complaint to Savvy Investments, who is required to respond to the
complaint in writing and to keep a record of it.
C) must provide a copy of the complaint to Savvy Investments, who can decide whether or not to ignore
the letter after hearing Ms. Newbie's side of the story.
D) can toss the complaint in the trash.

5. After a registration statement has been filed with the SEC, no offers to sell the security to the public can
be made for:

A) a minimum of 20 days unless the SEC grants an exception.
B) a maximum of 20 days.
C) a maximum of 30 days.
D) a minimum of 30 days unless the SEC grants an exception.

Solutions: