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

1. Tex Payor bought shares of the Stocks4U Mutual Fund on February 26th.During the year, the fund sold
some of the stocks in which it was invested, generating long-term capital gain income for the fund. Tex
received a distribution of some of these gains at the end of the year, based on his proportionate
ownership of the fund. Which of the following statements is true regarding the tax consequences of this
distribution to Tex?

A) There are no tax consequences to Tex. Mutual fund investors are taxed only on dividend distributions
and on capital gains realized when they sell shares of a fund that they own. Capital gains earned by the
fund when securities are bought and sold by the fund's manager are taxed to the fund.
B) Tex will have to pay tax on the distribution unless he opts to reinvest the distribution in the fund, in
which case the income will not be taxable.
C) Tex will have to pay tax on the distribution at his marginal tax rate. Since Tex had not been invested in
the fund for over 12 months when the distribution occurred, it is considered to be short-term capital gain
income for him, which is taxed as ordinary income.
D) Tex will have to pay tax on the distribution at the tax rate for long-term capital gains, which are currently
taxed preferentially.

2. Which of the following would not be a characteristic associated with stocks in which a growth fund might
invest?

A) high earnings growth
B) beta > 1.0
C) high cash dividends
D) high price-earnings (P/E) ratio

3. Mr. Schaker hasn't been seeing a lot of clients these days with the recent market downturn-which means
he hasn't been generating any commissions, and commissions are his bread and butter. So, Mr. Schaker
does some Googling on his computer and notes that a prominent family of load funds has just introduced
a new global fund. Scribbling the name and contact information of the fund family on his notepad, he
begins calling his existing clients and promoting the new fund, encouraging his clients to redeem some
shares in their existing funds to invest in this fund. Has Mr. Schaker violated any securities laws?

A) No. In FINRA's rules regarding fair dealing with customers, the SRO clearly states that "This does not
mean that legitimate sales efforts in the securities business are to be discouraged. . . "
B) Yes. Mr. Schaker is recommending the fund to his existing clients to benefit himself, not them.
C) No. Research indicates that new funds tend to offer abnormally high returns for the first 12 months of
their existence, so Mr. Schaker is doing his clients a favor even if he himself stands to profit.
D) Yes. A registered representative should always refrain from recommending shares of a load fund;
trades involving load funds should always be "unsolicited."

4. Fidelity Investments has two money market funds that is available to most investors. The Fidelity Cash
Reserves fund (FDRXX) is currently yielding 0.10% while its Fidelity Municipal Money Market fund
(FTEXX) is yielding 0.01%. One reason for this significant difference is that:

A) interest earned on the Cash Reserves fund is subject to the alternative minimum tax.
B) the Municipal Money Market fund is insured by the FDIC, and this is not true of the Cash Reserves
fund.
C) the Municipal Money Market fund pays interest that is free from federal taxes.
D) the Municipal Money Market fund pays interest that is free from state and local taxes.

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: