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

1. Anna Vestor placed an order to sell 100 shares of Microsoft through the on-line site of her broker,
GetErDone Broker-Dealers. GetErDone sold her shares for $24.59 a share and charged her a
commission of $8.95.Among other things, the trade confirmation that Anna receives must stipulate:
I. the time and date of the transaction.
II. that GetErDone served as a principal in the transaction.
III. the number of shares sold and the price at which they were sold.
IV. the exchange or ECN on which the transaction was executed.

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

2. Which of the following describes a difference between a Roth IRA and a traditional IRA?
I. Anyone with earned income can contribute to a traditional IRA, but not everyone with earned income
can make contributions to a Roth IRA.
II. The contributions made to a traditional IRA may be tax deductible, but the contributions made to a Roth
IRA are never tax deductible.
III. Contributions made to a Roth IRA may be withdrawn without penalty at any time whereas contributions
to a traditional IRA may only be withdrawn without penalty when the contributor reaches 59 1/2 or if the
contributor meets some specific requirements (e.g., becomes disabled.)
IV. When a contributor to a traditional IRA turns 70 1/2 , he must begin making mandatory withdrawals, but
there are no mandatory withdrawals with a Roth IRA.

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

3. Ms. Scatty is a registered representative with a well-known family of mutual funds. When selling one of
the funds, she forgets to give her buyer a prospectus. Which of the following statements is true?

A) Both A and B are true statements.
B) Since mutual funds are not covered under the Securities Act of 1933, there is no liability in this
instance.
C) Ms. Scatty can be held civilly liable under the Securities Act of 1933.
D) Ms. Scatty can be held criminally liable under the Securities Act of 1933.

4. Mr. A. D. Venturer owns 10,000 shares of Risky Corporation, which is currently selling for $8 a share. He
is leaving shortly for an extended trip to Antarctica and will be out of communication for that time. He
doesn't want to liquidate his investment in Risky before he goes, but he doesn't want to return to find that
his $80,000 investment is worth little to nothing. Which of the following options would make sense for Mr.
Venturer?

A) enter a good 'til cancelled (GTC) market order to sell Risky
B) buy a call option on Risky stock with an $8 strike price and an expiration date that occurs after his
return
C) place a limit order to sell Risky at either $8 a share or a price slightly less than $8 a share
D) place a stop sell order at a price less than $8 a share-perhaps $6 or $7 a share

5. Commercial paper is:

A) issued with maturities of 1 to 2 years.
B) short-term, unsecured debt issued by large corporations.
C) long-term debt issued by commercial banks.
D) short-term debt that is backed by stocks and bonds that the issuing firm owns.

Solutions: