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

1. Which of the following statements regarding a unit investment trust (UIT) is false?

A) A UIT has a fixed number of shares.
B) All UITs are established with a termination date.
C) UITs are actively managed.
D) Shares of UITs trade on exchange floors.

2. Any compensation earned by a broker-dealer and its registered representative on the sale of mutual fund
shares must be returned to the fund's underwriter if the purchaser decides to redeem his shares within:

A) 1 week.
B) 30 days.
C) 5 business days.
D) 7 business days.

3. The Slippery Fund is a high-yield bond fund, which means it invests a substantial amount of its money in:

A) junk bonds.
B) bonds with an AAA rating.
C) investment-grade bonds.
D) high-quality bonds.

4. Which of the following activities are prohibited by FINRA when a representative is selling shares of a
mutual fund?
I. recommending that a client purchase shares of a mutual fund prior to its ex-dividend date, so that the
client will receive the dividends when they are distributed unless this recommendation is justified by the
specific circumstances of the client
II. telling a client that a mutual fund that has only a contingent deferred sales charge is a no load fund
III. telling a client that the interest he earns on a municipal bond fund will be free from federal taxation
IV. refraining from placing the customer's order promptly in order to profit himself as a result of having
done so

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

5. Ralph has a traditional IRA from which he has yet to make any withdrawals. Ralph will be turning 70 1/2 in
June, 2011.According to the required minimum distribution rule associated with traditional IRAs, Ralph is
required to start withdrawing funds from this account:

A) on April 15, 2012.
B) on April 1, 2012.
C) on April 15, 2011.
D) no later than the day after he turns 70 1/2 .

Solutions: