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

1. Annie Vestor owns shares of the URMoney Mutual Fund. Annie lives on the west coast in Seattle,
Washington. URMoney reported a net asset value per share of $10.10 on October 9th. On October 10th,
its reported net asset value per share was $10.20. Upon arriving home at 12 P.M. (her time) on October
9 th, Annie logged into the URMoney website and entered an order to redeem 500 shares of her holdings
in the fund. This order will be transacted at:

A) The price at which this order will be transacted cannot be estimated based on the information provided.
B) $10.10
C) $10.20
D) the net asset value of the fund at the end of the trading day on October 11th.

2. Tex Payor owns 500 shares of Amazon.com, Inc. that he bought seven years ago when the stock price
was $18 a share, at which time he paid a commission of $12.95 to purchase the stock. At the beginning of
this year, Amazon was selling for $89 a share. Today, December 31st, Amazon's stock closed at $152 a
share. Based on this information, what must Tex include on this year's tax return as taxable income from
his investment in Amazon?

A) only the capital appreciation on the stock this year: $63 a share x 500 shares = $31,500
B) none of the above
C) the capital appreciation on the stock this year minus the commission he originally paid to purchase the
stock:($63 - $12.95) x 500 = $25,025
D) the value of the stock on December 31st minus the price he paid for it, which includes the commission
he paid, divided by the 7 years he has owned the stock: $152 - ($18 + $12.95) x 500 shares = $60,525 / 7
= $8,646

3. Which of the following are included in the expense ratio of a fund?
I. 12b-1 fees
II. brokerage costs incurred by the fund when it buys and sells securities
III. redemption fees
IV. management fees

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

4. Ms. Newbie is a newly-minted registered representative. Mr. Oldman saunters into her office, becomes
infatuated with her, opens an account, and signs a document giving Ms. Newbie discretionary authority
over the account. Mr. Oldman is 68 years old, retired, lives on a fixed income, and pays taxes at the
lowest marginal tax rate available. His stated investment objectives are capital preservation and income.
Ms. Newbie invests 1/4 of his investment monies in a periodic-payment, deferred, variable annuity. Based
on these facts:

A) Although Ms. Newbie's asset allocation for Mr. Oldman is less than optimal, she is in no danger of
losing her license or any other penalty, given that she has been given discretionary authority over the
account.
B) Ms. Newbie has a reasonable sexual harassment case against Mr. Oldman for putting her in such a
position.
C) Ms. Newbie may lose her license before she gets started in the business for making an unauthorized
transaction.
D) Ms. Newbie has done a remarkable job as a newly-minted representative of allocating at least a fourth
of Mr. Oldman's funds appropriately.

5. The Securities Act of 1933 did what?

A) It established the requirement that investment advisers be registered with the SEC.
B) It established the requirement that new securities be registered.
C) It established the SEC as the regulatory agency for the secondary market.
D) All of the above are correct answers.

Solutions: