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

1. Which of the following statements regarding the tax treatment of variable annuity contracts is false?

A) An investor who makes a withdrawal prior to having reached the age of 62 1/2 will be subject to a 10%
penalty on the withdrawal.
B) If an investor opts to make a random, partial, lump sum withdrawal, the entire amount of the withdrawal
will be taxed as ordinary income to the investor.
C) If an investor opts to receive regular payments of a specific amount-i.e., annuities-part of each
payment will be considered repayment of principal and will not be subject to taxation.
D) Earnings on the contributions to a variable annuity are not taxed during the accumulation phase.

2. Which of the following does not fall under the category of "sales literature," as defined by FINRA?

A) PowerPoint slides that have been prepared to use in a seminar
B) Reprints of an article that appeared in a financial publication about a specific mutual fund
C) an announcement containing some biological information on a registered representative who has just
joined the firm
D) a research report mailed only to a fund's existing clients

3. Any person who willfully acts in violation of the Securities Act of 1933, or any SEC rule, is subject to a
penalty of:

A) 10 years in prison or a $10,000 fine, or both.
B) 5 years in prison or a $10,000 fine, or both.
C) 5 years in prison or a $5,000 fine, or both.
D) 10 years in prison or a $25,000 fine, or both.

4. Nat Informed places a market order to buy 200 shares of Abercrombie & Fitch (ANF) on Thursday,
September 16th.When will Nat be required to pay for this Transaction?

A) on Friday, September 17th.
B) on the next trading day, September 16th.
C) by the end of the trading on September 15th.
D) on Tuesday, September 21st.

5. Ms. Newbie has recently become licensed as a registered representative and is disappointed to discover
no clients standing in line at the door to her office at Savvy Investments. She decides she simply must
take on a second job in order to pay the rent. The fitness club to which she belongs is advertising for a
weekend receptionist, and the club manager has told her the job is hers if she wants it. Given this
scenario, Ms. Newbie:

A) can accept the job only if she tells her supervisor at Savvy that she will be working weekends.
B) can accept the job without any restrictions. She is not tied to Savvy by ball and chain, and her work as
a receptionist at a fitness club does not have anything to do with the financial industry.
C) must provide a written notice to Savvy Investments and await the firm's approval before accepting the
job.
D) can accept the job since it only entails weekend work, which does not conflict with the hours she works
as a registered representative.

Solutions: