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

1. On which of the following items do mutual fund shareholders get to vote?
I. any change in the investment objective of the fund
II. the election of a new investment adviser
III. the renewal of the fund's 12b-1 fee
IV. the purchase or sale of real estate by the fund

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

2. Ms. Newbie, a registered representative employed by Savvy Investments, has received a letter of
complaint from a client that Ms. Newbie believes is unfair and illegitimate. More specifically, she believes
that the complaint misstates the facts. Under these circumstances, Ms. Newbie:

A) must respond to the complaint in writing.
B) must provide a copy of the complaint to Savvy Investments, who can decide whether or not to ignore
the letter after hearing Ms. Newbie's side of the story.
C) must provide a copy of the complaint to Savvy Investments, who is required to respond to the
complaint in writing and to keep a record of it.
D) can toss the complaint in the trash.

3. The Invest4U Mutual Fund is a regulated investment company under Internal Revenue Code Subchapter
M. This means that:

A) Invest4U is a UIT.
B) Invest4U must submit an annually-updated prospectus to the IRS as well as to the SEC.
C) Invest4U is a non-diversified management company.
D) Invest4U does not itself have to pay taxes on any dividend or capital gain income it receives and
distributes to its shareholders.

4. Which of the following statements about non-qualified employer-sponsored retirement plans is false?

A) The earnings on the plan's contributions remain untaxed until they are withdrawn.
B) The plan does not have to abide by ERISA's vesting requirements.
C) An employer does not have to offer the plan to all employees over 21 years old.
D) The plan may be either funded or unfunded.

5. Clem Shyster is a registered representative with a family of mutual funds. A married couple in their 50s
sought his advice about how they should best invest an $80,000 profit that they had received when they
sold a rental property they owned for a number of years. Their investment profile indicated to Clem that
their main investment objective was capital appreciation and that they were willing to accept moderate
levels of risk. Clem advised them to invest $10,000 in eight different growth funds, each of which had a
7 % front-end load. Has Clem violated any securities laws with his recommendation?

A) No. Growth funds invest in stocks that are selected to provide the capital appreciation that Clem's
clients need, and an investment in eight such funds will provide them with maximum risk diversification.
B) Yes. There is a lot of overlap of the individual stocks in which growth funds invest, so recommending
that they spread their funds among eight different growth funds has not provided them with significantly
more diversification, and it has cost them more to do so, which will benefit Clem.
C) Yes. Clem should have advised them to invest in funds that had a deferred sales charge instead of a
front-end load.
D) Yes. Although growth funds provide some amount of capital appreciation, Clem should have
recommended that they spread their money among eight different aggressive growth funds instead, to
achieve even greater capital appreciation.

Solutions: