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

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

2. Which of the following statements regarding CMOs is false?

A) CMO investors are divided into classes, and the class determines when the investor will receive
payments of principal.
B) CMOs are considered to have lower risk and, therefore, offer lower returns.
C) Relative to other bonds, CMOs are illiquid.
D) CMOs are zero-coupon bonds that are backed by real estate.

3. Which of the following is not required to be included in a management company's prospectus?

A) the potential risks to which the company's investors are exposed
B) the financial statements of the company
C) a statement of the investment objective of the company
D) the various fees charged by the company

4. Sarah Slick is kicking herself for having bought the stock of Bounce, Inc.at a higher price than she needed
to have paid. She bought it at $50 a share on November 20th and watched its price drop during December.
Ms. Slick is confident that Bounce's stock price will bounce back (pun intended), but she decides that in
the meantime, she will sell her shares and use the realized capital loss to offset some of the capital
gains she has realized on other investments during the year. Thus, on December 30th, she sells her
shares of Bounce for $40 a share. During the first couple weeks of the new year, Sarah observes
Bounce's price creeping upward, and she buys the same number of shares she previously sold for $45 a
share on January 18th. Given this scenario, which of the following statements is true?

A) Because Sarah waited the requisite 30 days after purchase before selling her shares in Bounce, she
can deduct her realized capital loss of $10 a share when calculating her taxes for that tax year.
B) The SEC may file civil charges against Sarah for engaging in an illegal "wash sale."
C) Although Sarah did not wait the requisite 30 days after her sale of Bounce shares to repurchase them,
she can still deduct her realized capital loss of $10 a share when calculating her taxes for that tax year
since her repurchase of the shares didn't occur until the following tax year.
D) Because Sarah did not wait the requisite 30 days after her sale of Bounce shares to repurchase them,
she cannot deduct her realized capital loss of $10 a share when calculating her taxes for that tax year.

5. Your client bought a variable annuity contract that has a 5% contingent deferred sales charge with a
7 -year surrender period four years ago. He has been reading about bonus annuities and 1035 exchanges
and has asked for your advice. You can tell him:

A) that it's a great idea, and you plan on how you're going to spend the unexpected income.
B) that although the exchange doesn't have any tax consequences, he'll be looking at a new, longer,
surrender period.
C) that he'll have to pay the 5% deferred sales charge if he executes the exchange.
D) both B and C.

Solutions: