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

1. A passive asset allocation strategy that involves establishing specific targeted percentages for the various
asset classes and rebalancing only as necessary to maintain those percentages as long as the investor's
investment objectives remain unchanged is called:

A) tactical asset allocation.
B) dynamic asset allocation.
C) strategic asset allocation.
D) interactive asset allocation.

2. Ms. Newbie is a newly-minted registered representative. Mr. Oldman saunters into her office, becomes
infatuated with her, opens an account, and signs a document giving Ms. Newbie discretionary authority
over the account. Mr. Oldman is 68 years old, retired, lives on a fixed income, and pays taxes at the
lowest marginal tax rate available. His stated investment objectives are capital preservation and income.
Ms. Newbie invests 1/4 of his investment monies in a periodic-payment, deferred, variable annuity. Based
on these facts:

A) Ms. Newbie has done a remarkable job as a newly-minted representative of allocating at least a fourth
of Mr. Oldman's funds appropriately.
B) Although Ms. Newbie's asset allocation for Mr. Oldman is less than optimal, she is in no danger of
losing her license or any other penalty, given that she has been given discretionary authority over the
account.
C) Ms. Newbie may lose her license before she gets started in the business for making an unauthorized
transaction.
D) Ms. Newbie has a reasonable sexual harassment case against Mr. Oldman for putting her in such a
position.

3. The compensation records that FINRA member firms are required to maintain must include which of the
following?
I. the names of the persons that have provided the compensation
II. names of the associated persons receiving the compensation
III. the amount of cash received
IV. the nature and value (if known) of any non-cash compensation received

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

4. Giant Investments mass mails a single-page, glossy flyer that lists the types of mutual funds it offers,
along with a general explanation of what the investment objective of each type of fund is. The flyer also
prominently provides Giant's contact information. Given these facts:

A) Giant Investments must submit a copy of this brochure within 10 days of its initial distribution date to
FINRA.
B) a principal of Giant Investments must sign (or initial) and date the brochure, giving it his official
approval.
C) the brochure will be subject to spot checks by FINRA and will need to be kept on file.
D) None of the above statements is true.

5. Which of the following represents a secondary market transaction?

A) An investor buys Treasury bills in the regular Monday auction.
B) A home buyer obtains a mortgage through his savings and loan.
C) An investor buys 300 shares of Electromed (ELMD) at its IPO offer price of $4.00 a share.
D) An investor sells her shares of Sunvalley Solar, Inc. (SSOL), which sells on the OTC Bulletin Board for
$ 0.059 a share.

Solutions: