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

1. The board of directors of a mutual fund is responsible for:
I. authorizing purchases and sales of securities made by the fund.
II. approving the fund's contract with its investment adviser.
III. ensuring that the fund complies with federal securities laws regarding such issues as 12b-1 fees.
IV. establishing the fund's dividend and capital gains policy.

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

2. 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) I, III, and IV only
D) III and IV only

3. Which of the following formulae is used to calculate the net dividend income per share of a mutual fund?

A) Subtract operating expenses from the income derived from dividends, interest, and short-term capital
gains earned by the fund and divide the result by the number of outstanding shares.
B) Divide gross investment income by the number of outstanding shares.
C) Subtract operating expenses from dividend and interest income and divide the result by the number of
outstanding shares.
D) Add dividends, interest, and short-term and long-term capital gains earned by the fund; subtract
operating expenses; then divide the result by the number of outstanding shares.

4. Which of the following is not considered to be a "security" as defined by the Securities Exchange Act of
1 934?

A) a bankers' acceptance, issued with a maturity of 4 months
B) a collateral trust certificate with an initial maturity of 5 years
C) a straddle that expires in 3 months
D) an interest in an oil drilling lease

5. Which of the following is not required to be included in a management company's prospectus?

A) a statement of the investment objective of the company
B) the potential risks to which the company's investors are exposed
C) the financial statements of the company
D) the various fees charged by the company

Solutions: