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

1. Mr. Bashful, Mr. Sleepy, Mr. Doc, Mr. Grumpy, Mr. Sneezy, and Mr. Happy are all employees of S. White
Investment Advisers. Mr. Doc, Mr. Sneezy, and Mr. Happy give investment advice to the firm's clients and
manage their portfolios. Mr. Sleepy greets clients and makes cold calls to solicit more business for the
firm. Mr. Bashful performs general clerical services, such as filing. Mr. Grumpy is the office manager and
is the direct supervisor of the other five employees. Which of S. White's employees must register as
investment adviser representatives under the Investment Advisers Act of 1940?

A) Mr. Grumpy, Mr. Doc, Mr. Sneezy, Mr. Happy, and Mr. Sleepy
B) All of them must register as investment adviser representatives.
C) Mr. Grumpy, Mr. Doc, Mr. Sneezy, and Mr. Happy
D) only Mr. Grumpy

2. A plan under which employees of state and local governments can contribute part of their salaries such
that those earnings will grow tax-deferred until retirement is called a:

A) Section 501 plan.
B) Section 457 plan.
C) profit-sharing plan.
D) money purchase plan.

3. The fees that member firms must pay to FINRA are based on:
I. the totalmarket value of its assets.
II. the number of registered representatives it employs.
III. the number of branch offices it has.

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

4. Nancy invested $1,850 in the MidFee Mutual Fund, which has a 4% front-end load. The net asset value
(NAV) per share of the fund at the time of her purchase was $22.20.How many shares of the fund was
Nancy able to purchase?

A) 80.13
B) None of the above is correct.
C) 83.33
D) 80.00

5. All government bonds and the majority of corporate bonds are traded:

A) on the floor of the NYSE.
B) via electronic communication networks (ECNs).
C) in the over-the-counter market.
D) on regional exchanges.

Solutions: