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

1. Which of the following is a true statement about FINRA rules regarding material that Giant Investments
submits to its institutional investors?
I. FINRA requires that each member firm establish procedures for each institutional investor separately.
II. Procedures to be followed in distributing material to institutional investors must be in writing.
III. All institutional sales material must be submitted to a principal for approval prior to being used.
IV. Institutional sales material must be maintained by the member firm for at least three years from the
date of last use.

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

2. The MaxFee Mutual Fund has a front-end load of 8.5%. If its net asset value (NAV) per share is currently
$ 32, for what price can an investor buy shares of the fund?(Round your answer to the nearest cent.)

A) $29.28
B) $34.72
C) $29.49
D) $34.97

3. Which of the following would not be a characteristic associated with stocks in which a growth fund might
invest?

A) high price-earnings (P/E) ratio
B) beta > 1.0
C) high earnings growth
D) high cash dividends

4. Dr. Floss has just earned his dental degree and wants to establish a private dental practice. He has had a
bit of sticker shock at the price of all the equipment this will require him to purchase. Because he still has
a large student loan to repay, he has been unable to borrow any money from his financial institution. To
raise capital, he decides to sell fifty ownership interests of $1,000 each to interested investors and takes
out a full page ad in a local newspaper to advertise this investment. In this scenario:

A) Dr. Floss has violated the provisions of the Securities Act of 1933 and may face civil penalties.
B) Dr. Floss can be charged with criminal fraud under the provisions of the Securities Exchange Act of
1 934.
C) Dr. Floss has not violated any laws since these ownership interests do not fall under the definition of a
security.
D) Dr. Floss has not violated any laws since the notes have a face value of only $1,000 and he is selling
them to a maximum of 50 different investors.

5. Which of the following activities are permitted during the "cooling off" period associated with a new
offering?
I. A preliminary prospectus may be provided to prospective investors.
II. The security can be registered in any states in which it will be sold.
III. The management of the issuing firm may give interviews in which they discuss the market for their
products and future revenue expectations.
IV. The underwriter of the issue may run a tombstone advertisement in the Wall Street Journal to
announce the upcoming offering.

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

Solutions: