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

1. One difference between investing in a variable annuity and in a mutual fund is that:

A) the premiums invested in a variable annuity grow tax-deferred.
B) Mutual fund investors have voting rights; owners of variable annuity contracts have no voting rights.
C) the fees and charges associated with investing in a mutual fund are much higher than those associated
with investing in a variable annuity contract.
D) the variable annuity guarantees a minimum rate of return on your investment.

2. Which of the following statements about the over-the-counter market is true?

A) Trades in the over-the-counter market are conducted via the auction process.
B) Only bonds and other debt instruments are traded in the over-the-counter market.
C) Stocks that are listed on exchange floors are also traded in the over-the-counter market.
D) Only penny stocks are traded in the over-the-counter market.

3. Giant Investments mass mails a single-page, glossy flyer that lists the types of mutual funds it offers,
along with a general explanation of what the investment objective of each type of fund is. The flyer also
prominently provides Giant's contact information. Given these facts:

A) the brochure will be subject to spot checks by FINRA and will need to be kept on file.
B) Giant Investments must submit a copy of this brochure within 10 days of its initial distribution date to
FINRA.
C) None of the above statements is true.
D) a principal of Giant Investments must sign (or initial) and date the brochure, giving it his official
approval.

4. Matt is a registered representative with Fine, Howard, Fine and Associates. Tom, an old fraternity brother,
is one of his clients. Business has been bad, and Matt is going to have difficulties making this month's
mortgage payment. Tom was commiserating with him when the two hooked up to have a couple of beers
together and offered to lend Matt some money to see him through the rough times. Based on these facts:

A) Matt can accept the offer as long as Tom will not need to sell any investments to lend Matt the money.
This would constitute a conflict of interest.
B) Matt must refuse Tom's offer since Tom is one of his clients.
C) Matt can accept the offer without having to obtain pre-approval from his employer since he and Tom
are former fraternity brothers and their friendship pre-dates their agent/client relationship.
D) Matt can accept Tom's offer, but only after obtaining pre-approval from Fine, Howard, Fine.

5. Nancy invested $1,850 in the MidFee Mutual Fund, which has a 4% front-end load. The net asset value
(NAV) per share of the fund at the time of her purchase was $22.20.How many shares of the fund was
Nancy able to purchase?

A) None of the above is correct.
B) 80.13
C) 83.33
D) 80.00

Solutions: