FINRA FINRA Certification Series6

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

1. The price at which an investor can sell a security to a market maker in the over-the-counter market is
called the:

A) sale price.
B) bid price.
C) put price.
D) ask price.

2. Liz is a new client of yours. She is 36 years old, single, and has been working and earning a nice salary
since her graduation from high school. She has been contributing the maximum allowed to a TSA plan
through her employer, and you have no reason to doubt that she will meet her stated goal to retire when
she is 58.She also has a good health care plan through her employer and is in excellent health. She has
been depositing her non-retirement savings in a money market fund and is not pleased at the pathetic
return she has been earning on her current balance of $140,000. Liz has been reading some articles on
the web and understands she could allocate her funds to receive a higher return. She's willing to take on a
moderate level of risk, but needs your help. She informs you that she does plan to use $40,000 of her
current savings as a down payment for a condo and that her investment goals are to have money
available for travel and for unexpected expenses and periodic purchases such as new cars and new
furniture as the needs arise. She pays taxes at the highest marginal tax rate for individual tax payers.
Based on these facts, which of the following asset allocations would best meet her needs?
I. Money market fund: 30%; investment-grade corporate bonds: 20%; blue-chip stocks: 20%; high-yield
bonds: 10%; small cap stocks: 10%; foreign stocks: 10%
II. Money market fund: 10%; investment-grade municipal bonds: 5%; blue-chip stocks: 25%; high-yield
bonds: 25%; small cap stocks: 10%; foreign stocks: 25%
III. Money market fund: 10%; investment-grade municipal bonds: 25%; growth stocks: 40%; small cap
stocks: 15%; foreign stocks: 10%

A) Either II or III would be suitable recommendations.
B) III
C) I
D) II

3. Which of the following is not a secured debt issue?

A) a mortgage bond
B) a collateral trust receipt
C) an equipment trust receipt
D) a subordinated debenture

4. On Friday, August 6th, the Board of Directors of Ecolab (ECI) announced that it would pay a dividend of
$ 0.155 a share to shareholders of record as of Tuesday, September 21st.The dividend checks were
scheduled to be mailed on Friday, October 15th. In this scenario, the payment date is:

A) Friday, September 17th.
B) Friday, August 6th.
C) none of the above.
D) Tuesday, September 21st.

5. Cliff places an order to sell 500 shares of the stock of Gap, Inc. (GPS) via his broker's website. Cliff does
not currently own any shares of GPS. This order is:

A) referred to as a short sale.
B) illegal, and the broker's website will reject it.
C) indicating that Cliff expects the price of Gap, Inc. to rise.
D) an example of a stop loss order.

Solutions: