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Last Updated: Sep 09, 2026
No. of Questions: 325 Questions & Answers with Testing Engine
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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 |
| Provides Customers with Information About Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records | 50% | - Investment company products: mutual funds, UITs, closed-end funds - Variable contracts: variable annuities, variable life insurance - Product features, risks, costs, and tax considerations - Retirement plans and 529 savings plans - Suitability rules and recommendations - Recordkeeping and disclosure requirements |
| Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 10% | - Trade confirmations and account statements - Payment and settlement processes - Order entry and processing procedures - Error resolution and correction procedures |
| Opens Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 16% | - Financial profile and investment objectives assessment - Account types and registration - Anti-money laundering (AML) and compliance - Customer identification and verification |
FINRA Investment Company and Variable Contracts Products Representative Examination (IR) Sample Questions:
On Friday, August 6th, the Board of Directors of Ecolab (ECI) announced that it would pay a dividend of
$ 0.155 a share to shareholders of record as of Tuesday, September 21st.The dividend checks were
scheduled to be mailed on Friday, October 15th.In this scenario, the ex-dividend date is:
- A. Friday, September 17th.
- B. Tuesday, September 21st.
- C. Friday, August 6th.
- D. none of the above.
Correct Answer: A 🗳️
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The Invest4U Mutual Fund is a regulated investment company under Internal Revenue Code Subchapter
M. This means that:
- A. Invest4U is a non-diversified management company.
- B. Invest4U is a UIT.
- C. Invest4U does not itself have to pay taxes on any dividend or capital gain income it receives and
distributes to its shareholders. - D. Invest4U must submit an annually-updated prospectus to the IRS as well as to the SEC.
Correct Answer: C 🗳️
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Your 53-year-old client, Ms. Antsy, just inherited $80,000 from her aunt and has decided to retire
immediately. She wants to invest in something that will allow her to begin making withdrawals
immediately, and she wants to be certain that she will continue to receive payments at least until she turns
6 2 1/2 and begins drawing social security. You should recommend Ms. Antsy invest in:
- A. a periodic-payment deferred annuity.
- B. none of the above.
- C. a single-payment deferred annuity.
- D. a single-payment immediate annuity.
Correct Answer: B 🗳️
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An exchange-traded fund (ETF):
- A. is bought and sold at the net asset value of the fund.
- B. can be structured as either a mutual fund or a unit investment trust.
- C. charges no management fees.
- D. is a type of closed-end investment company.
Correct Answer: B 🗳️
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Mr. and Mrs. R. Retired are planning on traveling extensively throughout the U.S. in their new motor home
now that they have reached their golden years. Under FINRA rules, upon written instructions from Mr. and
Mrs. R. Retired, their broker is required to hold their mail for a maximum of:
- A. 1 month.
- B. 3 months.
- C. none of the above. It is Mr. and Mrs. Retired's responsibility to establish a mail-hold through the post
office. - D. 2 months.
Correct Answer: D 🗳️
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