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FINRA Series-6 Exam Questions

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Investment Company and Variable Contracts Products Representative Qualification Examination (IR)

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FINRA Series-6 Sample Questions – Free Practice Test & Real Exam Prep

Question #1

Which of the following statements regarding both a Uniform Gifts to Minors account (UGMA) and a Uniform Transfers to Minors account (UTMA) is false? 

  • A. There can be only one custodian named on the account. 
  • B. The account must be established in the name of one minor child only. 
  • C. Once established, the account is irrevocable. 
  • D. The assets must be re-registered in the minor child’s name when the child turns 18. 
Answer: D Explanation:
The false statement regarding both a UGMA and a UTMA is that the assets must be reregistered in the minor child’s name when the child turns 18. The rule differs between the two types of accounts. The UGMA requires that the assets must be re-registered when the child reaches the “age of majority,” as defined by the state, and the definition differs among states. Under the UTMA, the transfer of the account can be delayed until the minor child has reached the age of 25. 
Question #2

Anna Lyst observes that the beta of a certain stock is 0.8. This means that:

  • A. if the S&P 500 Index loses 10%, this stock can be expected to lose 8%.
  • B. the stock is 80% more volatile than the S&P 500 Index.
  • C. if the S&P 500 Index is up 10%, this stock can be expected to lose 8%.
  • D. the stock is riskier than the overall market.
Answer: A
Explanation:

If the beta of a stock is 0.8, it means that if the S&P 500 Index loses 10%, this stock can be expected to lose 8%. Beta is a measure of how a stock or a portfolio of stocks moves with the overall market, and the S&P 500 Index is commonly used as a proxy for the overall market. A beta of 0.8 means that the stock is less risky than the market, which has a beta of 1.0.
Question #3

After having been divorced for several years, Mrs. Blended has remarried a man with three children of his own. She has set up a revocable trust in which she deposited funds that she inherited when her mother died, so that the monies will go uncontested to her two biological children in the event of her own death. These two adult children are the only beneficiaries of the trust. Mrs. Blended has no plans to touch any of the money in the trust unless circumstances demand it in the future. The trust is invested in a mutual fund that paid $500 in dividend income and distributed $3,000 in long-term capital gain income to the trust this year.Which of the following statements is true regarding the tax treatment of these distributions? 

  • A. The distributions will not be taxed at this point; they will be taxed only when Mrs. Blended or her beneficiaries make withdrawals from the trust. 
  • B. Assuming her two adult children are equal beneficiaries, each one is responsible for paying tax on 50% of the income to the trust, or $1,750. 
  • C. Mrs. Blended must pay taxes on the $3,500 in distributions. 
  • D. The distributions will not be taxed at this point; they will be taxed as part of the estate upon Mrs. Blended’s death. 
Answer: C Explanation: 
If Mrs. Blended established a revocable trust that invested in a mutual fund that distributed $3,500 total in dividend and capital gain income this year, Mrs. Blended is responsible for paying taxes on the distributions. Whether or not any monies or assets are withdrawn from a revocable trust, the grantor of the trust-in this case, Mrs. Blended-- is responsible for any taxes due. 
Question #4

Which of the following is true about treasury bonds?

  • A. have no default risk.
  • B. have no interest-rate risk.
  • C. have no prepayment risk.
  • D. are totally risk-free.
Answer: A
Explanation: 

Treasury bonds have no default risk. They do have interest -rate risk; their prices will fall with increases in interest rates, just like any other bond. Some Treasury bonds are callable, in which case the investor is exposed to prepayment risk.
Question #5

Joan is a customer of GetErDone Broker-Dealers. Her twin sister, Jean, has accompanied her to GetErDone’s office and has gathered some information regarding opening an account with the firm, giving it her contact information at the same time.Under Regulation S-P, which of the following statements regarding GetErDone’s handling of Joan’s and Jean’s personal information is true?

  • A. GetErDone must provide Joan with a notification of its privacy policies annually and provide her with information on how to mandate that it not share her nonpublic personal information with nonaffiliated third parties.
  • B. GetErDone can disclose any information that Jean provided them to nonaffiliated third parties since Jean is not a customer of the broker-dealer.
  • C. GetErDone is required to have provided Jean with a copy of its privacy policy when she inquired about opening an account with the broker-dealer.
  • D. All of the above are true statements.
Answer: A
Explanation: 

Since Joan is a customer of GetErDone, GetErDone must provide her with a notification of its privacy policies annually and provide her with information on how to mandate that it not share her nonpublic personal information with nonaffiliated third parties. GetErDone may not disclose any information about Jean, who is not yet a customer of the firm, unless the broker -dealer has provided Jean with its privacy policy and given her the opportunity to opt out of its ability to share her information with nonaffiliated third parties. GetErDone is not required to have provided Jean with a copy of its privacy policy when she inquired about opening an account, but it will need to provide her with one when/if she becomes a customer.
Question #6

Which of the following would be required to register as an investment company?I. a non-diversified management companyII. a unit investment trustIII. a face-amount certificate company

  • A. I, II, and III
  • B. II only 
  • C. II and III only 
  • D. I and II only 
Answer: A Explanation: 
All three choices must register as an investment company since all meet the definition of an investment company under the Investment Company Act of 1940. A management company refers to either a closed-end or an open-end investment company, both of which must register, regardless of the diversification of their investments.
Question #7

Given the same maturity, which of the following debt instruments would you expect to offer the highest yield-to-maturity?

  • A. a debenture issued by Abbott Laboratories
  • B. a bond issued by the Federal Home Loan Bank Board
  • C. a general obligation bond issued by the state of Massachusetts
  • D. a U.S. Treasury bond
Answer: A
Explanation:

Given the same maturity, the debenture issued by Abbott Laboratories would be expected to offer the highest yield -to-maturity. It is unsecured debt offered by a corporation and is the riskiest of the four choices. Bonds issued by the U.S. government and by U.S. government agencies are considered to be free of default-risk and would have lower yields to reflect this. The general obligation bond offered by the state of Massachusetts pays interest that is free from federal taxation and will have a lower yield because of this feature.
Question #8

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 must refuse Tom’s offer since Tom is one of his clients.
  • B. Matt can accept Tom’s offer, but only after obtaining pre-approval from Fine, Howard, Fine.
  • 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 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.
Answer: B
Explanation:

Since Tom and Matt are old fraternity brothers, Matt may accept Tom’s offer, but only after obtaining pre-approval from Fine, Howard, Fine. FINRA’s Rule 3240 allows for borrowing and lending between a registered representative and a client if “the lending arrangement is based on a personal relationship with the customer, such that the loan would not have been solicited, offered, or given had the customer and the associated person not maintained a relationship outside of the broker/customer relationship.”
Question #9

Which of the following is not a secured debt issue?

  • A. a collateral trust receipt 
  • B. a subordinated debenture 
  • C. an equipment trust receipt 
  • D. a mortgage bond 
Answer: B Explanation: 
A subordinated debenture is not a secured debt issue. All the other choices are. Collateral trust receipts are back by stocks and bonds owned by the issuing firm. An equipment trust receipt is backed by specific equipment owned by the firm. A mortgage bond is backed by real estate. 
Question #10

stion No: 159In 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. $19
  • B. $44 
  • C. $47 
  • D. $28
Answer: B Explanation: 
Since Hasbro was selling for $44 on the day Uncle Oscar died, this is your cost basis. The cost basis of an inherited investment is the market value of the investment on the date that the person died. 
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