Try FINRA : Series6 valid & accurate questions and answers
Updated: Jun 02, 2026
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FINRA Investment Company and Variable Contracts Products Representative Examination (IR) Sample Questions:
1. Mr. Bashful, Mr. Sleepy, Mr. Doc, Mr. Grumpy, Mr. Sneezy, and Mr. Happy are all employees of S. White
Investment Advisers. Mr. Doc, Mr. Sneezy, and Mr. Happy give investment advice to the firm's clients and
manage their portfolios. Mr. Sleepy greets clients and makes cold calls to solicit more business for the
firm. Mr. Bashful performs general clerical services, such as filing. Mr. Grumpy is the office manager and
is the direct supervisor of the other five employees. Which of S. White's employees must register as
investment adviser representatives under the Investment Advisers Act of 1940?
A) Mr. Grumpy, Mr. Doc, Mr. Sneezy, Mr. Happy, and Mr. Sleepy
B) All of them must register as investment adviser representatives.
C) Mr. Grumpy, Mr. Doc, Mr. Sneezy, and Mr. Happy
D) only Mr. Grumpy
2. Which of the following actions will result in a taxable event for Tex Payor, an investor in the Invest4U
Mutual Fund?
I. Tex sells some of his shares of the fund at a profit.
II. Tex exchanges some of his shares in Invest4U for shares of another fund in the same family of funds.
III. Tex opts to reinvest any dividend or capital gain income he might have received in the fund to buy
additional shares of the fund in lieu of receiving a check from the fund.
A) I and III only
B) I, II, and III
C) I only
D) I and II only
3. Tex Payor is an investor in the Invest4U Mutual Fund. The manager of the fund, fearing a substantial
decline in the stock market, sold a lot of the fund's holdings to lock in profits. As a result, the fund earned a
lot of long-term capital gain income. Which of the following statements is true regarding the tax treatment
of this income?
A) Tex must pay taxes on his proportionate share of the long-term capital gain income earned by Invest4U,
whether distributed or not.
B) None of the above is a true statement.
C) Tex must pay taxes on that portion of the long-term capital gain income that Invest4U distributes to
him.
D) Tex must pay taxes only on dividend income distributed by Invest4U.The mutual fund itself pays tax on
any capital gains it earns.
4. Which of the following do not fall under the category of "advertisement," as defined by FINRA?
I. scripts used in telemarketing the products of the member firm
II. a website maintained by the member firm
III. research reports that the member firm distributes to both its existing clients and its prospective clients
IV. sales material that a member firm distributes only to its institutional clients
A) IV only
B) I only
C) III and IV only
D) I, III, and IV only
5. When a client purchases a variable contract through you, he should be informed that his money will be
invested:
A) at the most recent price for which the contract sold.
B) at the previous day's close price for the contract.
C) in a product with a guaranteed cash value.
D) at the next price that is computed after the contract application is accepted by the insurance company.
Solutions:
| Question # 1 Answer: A | Question # 2 Answer: B | Question # 3 Answer: C | Question # 4 Answer: D | Question # 5 Answer: D |
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