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FINRA Series6 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 10% | - Transaction processing and verification |
| Seeks Business for the Broker-Dealer from Customers and Potential Customers | 24% | - Topics in communications, marketing, and solicitation activities |
| Provides Customers with Information About Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records | 50% | - Product information, suitability, recordkeeping and transfers |
| Opens Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 16% | - Account opening procedures and financial profile evaluation |
FINRA Investment Company and Variable Contracts Products Representative Examination (IR) Sample Questions:
Joe Cool is a member of the All Greek Fraternity. A few of the alumni of his fraternity sat for the FINRA
Series 6 exam over the past couple of years and, using their cell phones, took pictures of the exam
questions. They forwarded these to their fraternity to be included in the test bank file the fraternity keeps
in its study room. Have there been any violations of FINRA/NASD rules in this instance?
- A. No. It is standard practice for sororities and fraternities to compile test banks of old exams, and since
the forwarded tests are not copies of an actual future exam that will be administered, there has been no
violation of any rules. - B. Yes. It is a violation of Rule 2110 for an exam-past or present-to be reproduced and distributed for
study purposes. - C. Both A and C are true statements.
- D. No. Rule 2110 only prohibits the reproduction and distribution of a previously administere d FINRA
exam for study purposes if the exams are being sold. As long as there is no compensation involved, a
violation has not been committed.
Correct Answer: B 🗳️
Explanation: Only visible for Prep4pass members. You can sign-up / login (it's free).
The URMoney Mutual fund, a no load fund, has 10 million shares outstanding. The market value of its
assets is $620 million and its liabilities are $150. Based on this information, an investor who wants to buy
shares of the fund will pay:
- A. $47 a share.
- B. This cannot be answered without knowing what, if any, the front-end load is.
- C. $62 a share.
- D. $15 a share.
Correct Answer: A 🗳️
Explanation: Only visible for Prep4pass members. You can sign-up / login (it's free).
Ms. Scatty is a registered representative with a well-known family of mutual funds. When selling one of
the funds, she forgets to give her buyer a prospectus. Which of the following statements is true?
- A. Both A and B are true statements.
- B. Ms. Scatty can be held civilly liable under the Securities Act of 1933.
- C. Since mutual funds are not covered under the Securities Act of 1933, there is no liability in this
instance. - D. Ms. Scatty can be held criminally liable under the Securities Act of 1933.
Correct Answer: B 🗳️
Explanation: Only visible for Prep4pass members. You can sign-up / login (it's free).
Upon receiving a complaint about one of its member firms, FINRA may:
I. require any person associated with the member firm to provide information to FINRA and to testify under
oath.
II. inspect and copy the books, records and accounts of the member firm.
III. share information obtained from its investigation of a member firm with a foreign regulatory agency.
- A. II only
- B. II and III only
- C. I, II, and III
- D. I and II only
Correct Answer: C 🗳️
Explanation: Only visible for Prep4pass members. You can sign-up / login (it's free).
A load mutual fund offers reduced load charges when an investor invests over $25,000 in the fund. Which
of the following can combine their funds in order to meet that breakpoint and get the reduced sales
charge?
I. Mr. and Mrs. Smith
II. Mrs. Smith and her 8-year-old daughter, Susie
III. Mr. Smith and his brother, Darwin
IV. The Smithereen Investment Club, of which Mr. and Mrs. Smith are co-chairpersons
- A. I, II, and III only
- B. I only
- C. I, II, and IV only
- D. I and II only
Correct Answer: D 🗳️
Explanation: Only visible for Prep4pass members. You can sign-up / login (it's free).
Jacqueline 
Bernie 
Heather 
Murray 
Marsh 
Mandel 
Ingemar 
Porter 
Donald 
Penelope 
Herman 
Winston 
Otto 
Tracy 
Godfery 
Ziv 
