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

1. Which of the following persons is not subject to the fingerprinting requirements of the Securities Exchange
Act of 1934?
I. a registered transfer agent of a securities exchange
II. a firm that engages only in the sale of mutual fund shares
III. a receptionist at a brokerage firm who answers phones and directs calls to the agents employed by the
firm
IV. a market maker in the over-the-counter market

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

2. Which of the following statements regarding a letter of intent is true?

A) An investor has 12 months in which to invest the amount stipulated in the letter.
B) A letter of intent may be backdated up to 90 days so that any purchases made during that prior time
period will count toward making a breakpoint.
C) An investor who signs a letter of intent and does not invest the amount stipulated must make up the
difference between the sales charge he paid and what he should have paid, plus interest.
D) Reinvested dividends and capital gain distributions count toward the amount stipulated in the letter of
intent.

3. Any person who willfully acts in violation of the Securities Act of 1933, or any SEC rule, is subject to a
penalty of:

A) 5 years in prison or a $5,000 fine, or both.
B) 10 years in prison or a $10,000 fine, or both.
C) 10 years in prison or a $25,000 fine, or both.
D) 5 years in prison or a $10,000 fine, or both.

4. A person's discretionary income is:

A) his income after tax.
B) the income that he has left to spend or save after having paid taxes on the income and for all of the
necessities, e.g., housing, food, clothing, transportation, utilities, etc.
C) the amount of his income that is needed to pay his regular monthly bills, e.g., rent, food, gasoline,
utilities, health insurance, etc.
D) the amount that can be allocated to speculative investments.

5. In 2004, your Uncle Oscar purchased 300 shares of Hasbro, Inc. for $19 a share. Uncle Oscar died earlier
year and left his Hasbro stock to you. The stock was selling for $44 on the day he died, but by the time
you learned that you were the beneficiary of the stock, the price was $47. What is your cost basis in
Hasbro?

A) $44
B) $28
C) $19
D) $47

Solutions: