FINRA Series6 Q&A - in .pdf

  • Series6 pdf
  • Exam Code: Series6
  • Exam Name: Investment Company and Variable Contracts Products Representative Examination (IR)
  • Updated: Aug 03, 2026
  • Q & A: 325 Questions and Answers
  • Convenient, easy to study.
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  • Updated: Aug 03, 2026
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FINRA Series6 Q&A - Testing Engine

  • Series6 Testing Engine
  • Exam Code: Series6
  • Exam Name: Investment Company and Variable Contracts Products Representative Examination (IR)
  • Updated: Aug 03, 2026
  • Q & A: 325 Questions and Answers
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FINRA Series6 Exam Syllabus Topics:

SectionWeightObjectives
Topic 1: Seeks Business for the Broker-Dealer from Customers and Potential Customers24%- Topics in communications, marketing, and solicitation activities
Topic 2: Provides Customers with Information About Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records50%- Product information, suitability, recordkeeping and transfers
Topic 3: Opens Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives16%- Account opening procedures and financial profile evaluation
Topic 4: Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions10%- Transaction processing and verification

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

1. Which of the following would not be defined as an "interested person," under the Investment Company Act
of 1940?

A) a person who owns at least 5% of the voting stock of the company
B) the spouse of an officer of the company
C) an employee of the company
D) All of the above would be defined as interested persons under the Investment Company Act of 1940.


2. 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) Friday, August 6th.
C) Tuesday, September 21st.
D) none of the above.


3. The essential difference between a 401(k) plan and a 403(b) plan is that:

A) the 403(b) plan is for small businesses while the 401(k) plan is for large corporations.
B) contributions to 403(b) plans are always tax deductible, which is not the case with 401(k) plan
contributions.
C) only employers can contribute to 403(b) plans while both employers and employees can contribute to
4 01(k) plans.
D) the 403(b) plan is for employees of specific non-profit organizations whereas the 401(k) plan is for the
employees of private corporations.


4. After a registration statement has been filed with the SEC, no offers to sell the security to the public can
be made for:

A) a maximum of 30 days.
B) a minimum of 30 days unless the SEC grants an exception.
C) a minimum of 20 days unless the SEC grants an exception.
D) a maximum of 20 days.


5. 1 2b-1 fees refer to:

A) fees that mutual funds pay the broker-dealers that execute their trades.
B) fees that some mutual funds charge to pay for certain of its marketing expenses.
C) the front-end or back-end load that a mutual fund charges.
D) the management fees of a mutual fund.


Solutions:

Question # 1
Answer: D
Question # 2
Answer: A
Question # 3
Answer: D
Question # 4
Answer: C
Question # 5
Answer: B

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