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

1. One difference between a unit investment trust (UIT) and a closed-end fund is that

A) unlike UITs, closed-end funds have a fixed number of shares.
B) the shares of UITs are redeemable, whereas the shares of closed-end funds are not.
C) shares of closed-end funds trade on the exchange floors, unlike shares of UITs.
D) closed-end funds are established with a termination date, unlike UITs.

2. Which of the following steps in the underwriting process will occur last?

A) The selling group is organized.
B) A red herring prospectus is circulated to the public.
C) The public offering price is set.
D) The underwriting syndicate is formed.

3. Ms. Newbie, a newly-minted registered representative with Savvy Investments, just had her first client
walk through the door. Before she can do anything, Ms. Newbie must obtain which of the following pieces
of information from her client?

A) investment objectives
B) age
C) occupation
D) taxpayer identification number (TIN)

4. Under FINRA Rule 2830, a member firm and its associates are prohibited from selling shares of a mutual
fund if the service fees disclosed in the fund prospectus exceed:

A) 0.50% of the fund's average annual net assets.
B) 0.75% of the fund's average annual net assets.
C) 1.00% of the fund's average annual net assets.
D) 0.25% of the fund's average annual net assets.

5. Which of the following securities laws regulates the organizational structure and day-to-day operations of
investment companies?

A) The Investment Company Act of 1940
B) The Securities Exchange Act of 1934
C) The Securities Act of 1933
D) The Investment Advisers Act of 1940

Solutions: