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

1. Lana is registered as a limited representative and is employed by Everything Investments. Her duties
include selling mutual funds and variable contracts products to the firm's clients. She has been
particularly successful in selling variable contracts offered by OneLife insurance company. As a "thank
you" for her hard work, OneLife has offered her a ticket to an upcoming play at a local dinner theatre.
Given this scenario, which of the following statements applies?

A) Lana will have to pass on the offer. Lana is prohibited from receiving compensation from anyone other
than Everything Investments.
B) Lana can accept the offer without Everything's approval in this instance since the offer does not involve
cash.
C) Lana can accept the offer as long as Everything agrees to it and as long as it is not an ongoing thing
and/or preconditioned on her achieving a specified sales target.
D) Lana will have to pass on the offer. She is permitted to receive only cash compensation in an amount
not to exceed $100 from an entity other than Everything, and then only with Everything's approval.

2. In 2004, your Uncle Oscar purchased 300 shares of Hasbro, Inc. for $19 a share. Uncle Oscar died earlier
year and left his Hasbro stock to you. The stock was selling for $44 on the day he died, but by the time
you learned that you were the beneficiary of the stock, the price was $47. A month later, you notice that
the stock is selling for $55 and decide to sell it. What is the tax consequence of this sale to you?

A) $3,300, taxed as long-term capital gain income
B) $10,800, taxed as long-term capital gain income
C) None of the above is the correct tax consequence of this sale.
D) $2,400 taxed as short-term capital gain income

3. A FINRA member who is a principal underwriter under the definition provided in the Investment Company
Act of 1940 is permitted to sell variable contracts through another broker-dealer only if:
I. the broker-dealer is also a FINRA member.
II. there is a sales agreement in effect between the underwriter and the broker-dealer.
III. the broker-dealer is also a principal underwriter as defined by the Investment Company Act of 1940.

A) both I and II are true.
B) any one of the three statements-I, II, or III-are true.
C) all three statements-I, II, and III-are true.
D) either I or II is true.

4. Which of the following statements regarding the required distribution of income by a regulated investment
company are true?

A) Both A and B are true statements.
B) Under current tax laws, qualifying dividends distributed to the company's investors are taxable to those
investors at a preferential rate-i.e., either 0% or 15%, depending on the investor's marginal tax rate.
C) Both short-term and long-term capital gains earned by the company can be distributed only once a
year.
D) If an investor in the investment company has elected to reinvest his dividend and capital income in the
company rather than receiving a check, then the investor is not required to pay taxes on the reinvested
funds.

5. A warrant differs from a standard call option in that:

A) a warrant gives the holder the right to sell shares of the underlying stock; a call option gives the holder
the right to buy shares of the underlying stock.
B) a standard call option generally has a longer period to expiration than a warrant.
C) when a call option is exercised, the outstanding shares of the firm whose stock is being purchased
increases; this does not occur when a warrant is exercised.
D) when a warrant is exercised, the firm whose stock is being purchased will have an increase in cash;
this is not the case when a standard call option is exercised.

Solutions: