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

1. Which of the following statements regarding a mutual fund's expenses are true?

A) The expense ratio of a mutual fund cannot exceed 1.0%.
B) A mutual fund that has a front-end load cannot also charge 12b-1 fees.
C) A mutual fund's record maintenance fees cannot exceed 0.25% of average net assets.
D) A mutual fund family is prohibited from charging a fee when an investor exchanges his shares of one of
its funds for another.

2. Clem Shyster is a registered representative with a family of mutual funds. A married couple in their 50s
sought his advice about how they should best invest an $80,000 profit that they had received when they
sold a rental property they owned for a number of years. Their investment profile indicated to Clem that
their main investment objective was capital appreciation and that they were willing to accept moderate
levels of risk. Clem advised them to invest $10,000 in eight different growth funds, each of which had a
7 % front-end load. Has Clem violated any securities laws with his recommendation?

A) Yes. There is a lot of overlap of the individual stocks in which growth funds invest, so recommending
that they spread their funds among eight different growth funds has not provided them with significantly
more diversification, and it has cost them more to do so, which will benefit Clem.
B) Yes. Although growth funds provide some amount of capital appreciation, Clem should have
recommended that they spread their money among eight different aggressive growth funds instead, to
achieve even greater capital appreciation.
C) Yes. Clem should have advised them to invest in funds that had a deferred sales charge instead of a
front-end load.
D) No. Growth funds invest in stocks that are selected to provide the capital appreciation that Clem's
clients need, and an investment in eight such funds will provide them with maximum risk diversification.

3. Rank the following entities with regard to the priority of their claims on a firm-from the highest priority to
the lowest priority-in the event of bankruptcy.
I. common shareholders
II. preferred shareholders
III. secured bondholders
IV. debenture holders

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

4. Mr. and Mrs. R. Retired are planning on traveling extensively throughout the U.S. in their new motor home
now that they have reached their golden years. Under FINRA rules, upon written instructions from Mr. and
Mrs. R. Retired, their broker is required to hold their mail for a maximum of:

A) 2 months.
B) 1 month.
C) none of the above. It is Mr. and Mrs. Retired's responsibility to establish a mail-hold through the post
office.
D) 3 months.

5. Which of the following statements about mutual funds is false?

A) Mutual funds issue redeemable shares.
B) Mutual funds are organized under state law.
C) Mutual funds may be either actively or passively managed.
D) Mutual funds may be organized as corporations, statutory trusts, or partnerships.

Solutions: