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

1. Simple Simon owns 1,000 shares in the Pasty Pie Corporation, which has just declared a stock dividend
of 5%.Just prior to this announcement, Pasty Pie was selling for $10 a share. This announcement will:

A) increase the number of shares that Simple owns to 1,050, which will increase the market value of the
shares that he owns from $10,000 to $10,500.
B) increase Pasty's shares outstanding and reduce Simple's proportionate ownership in the firm.
C) increase Simple's cash by the amount of the dividend paid: 0.05 x $10 = $0.50 x 1,000 shares = $500.
D) increase the number of shares that Simple owns to 1,050, but this will not affect the market value of
Simple's holdings.

2. Any compensation earned by a broker-dealer and its registered representative on the sale of mutual fund
shares must be returned to the fund's underwriter if the purchaser decides to redeem his shares within:

A) 5 business days.
B) 1 week.
C) 7 business days.
D) 30 days.

3. Which of the following statements about specialists is false?

A) Specialists are market makers in assigned stocks and, as such, can profit from these investments.
B) Specialists are employees of the exchange on which they oversee trades.
C) In addition to acting as market makers, specialists also act as agents and execute limit orders placed
by commission brokers for their clients if the specified price is reached.
D) Specialists are required to maintain a fair and orderly market in their assigned stocks, meaning that
they must buy if there is an excess of sell orders and sell out of their own portfolios if there is an excess of
buy orders.

4. Sam's neighbor has just inherited some bonds from his uncle. The neighbor, knowing that Sam is a
registered representative with a brokerage firm, asks Sam if he would like to handle the sale of these
securities. Sam agrees to do so and calls his existing clients with an offer to sell the bonds at a price that
he researches to be the average "ask" price of dealers in the same bonds. In this situation:

A) Sam has engaged in the illegal practice of "front running."
B) Sam has engaged in no illegal practices as long as he markets the bonds only to existing clients. This
is referred to as a private placement.
C) Sam has engaged in the illegal practice of "selling away."
D) Sam has engaged in no illegal practices since he is licensed to sell bonds and is doing so at an
established "ask" price. Sam is a good neighbor.

5. The profile of the Invesco Utilities Fund stipulates that 80% of its funds will normally be invested in stocks
of firms in utilities-related industries. This suggests that the Invesco Utilities Fund is:

A) a non-diversified investment company.
B) a sector fund.
C) both A and B.
D) an asset allocation fund.

Solutions: