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FINRA Series6 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Seeks Business for the Broker-dealer from Customers and Potential Customers | 24% | - Telemarketing and solicitation rules - Prospecting and identifying customer needs - Communications with the public and regulatory rules - Advertising and sales literature regulations |
| Opens Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 16% | - Anti-money laundering (AML) and compliance - Financial profile and investment objectives assessment - Customer identification and verification - Account types and registration |
| Provides Customers with Information About Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records | 50% | - Variable contracts: variable annuities, variable life insurance - Recordkeeping and disclosure requirements - Investment company products: mutual funds, UITs, closed-end funds - Product features, risks, costs, and tax considerations - Suitability rules and recommendations - Retirement plans and 529 savings plans |
| Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 10% | - Order entry and processing procedures - Error resolution and correction procedures - Trade confirmations and account statements - Payment and settlement processes |
FINRA Investment Company and Variable Contracts Products Representative Examination (IR) Sample Questions:
1. Under the rules of ERISA, all private-employer sponsored retirement plans must:
A) be defined contribution plans.
B) provide a specific vesting schedule under which all participants in the plan will become 100% vested
after having been in the firm's employ for seven or fewer years.
C) exclude anyone who has not been employed with the firm for at least five years.
D) allow any employee to participate in the retirement plan as long as the employee is at least 21 years
old.
2. A face-amount certificate company:
A) sells its debt, which is backed by the assets owned by the company, to its investors.
B) is an investment company that has management fees.
C) is a company that invests primarily in bonds that sell at either par value or a premium.
D) is all of the above.
3. Private placements may be sold to whom?
A) only to institutional investors.
B) only to accredited investors.
C) to as many as 35 non-accredited investors.
D) to only 35 investors.
4. Which of the following is not required to be included in a management company's prospectus?
A) a statement of the investment objective of the company
B) the potential risks to which the company's investors are exposed
C) the financial statements of the company
D) the various fees charged by the company
5. Glamourless Fund is a value fund. As such, it invests primarily in stocks with:
A) low cash dividend yields.
B) high price-earnings ratios.
C) high betas.
D) low earnings growth rates.
Solutions:
| Question # 1 Answer: B | Question # 2 Answer: A | Question # 3 Answer: C | Question # 4 Answer: C | Question # 5 Answer: D |
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