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

1. Main Street Capital Corporation (MAIN) is registered as a non-diversified investment company under the
Investment Company Act of 1940.Based on this, which of the following statements regarding MAIN are
true?
I. MAIN may not invest more than 5% of its investment monies in any single issuer.
II. The net asset value of MAIN's shares is likely to fluctuate more than that of a diversified investment
company.
III. MAIN's returns are more likely to be affected by any single, specific economic occurrence or regulatory
change.

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

2. The entity that serves as the auctioneer for trades conducted on an organized exchange floor is known as
a:

A) registered trader.
B) specialist.
C) floor broker.
D) commission broker.

3. The price at which an investor can sell a security to a market maker in the over-the-counter market is
called the:

A) put price.
B) sale price.
C) bid price.
D) ask price.

4. When a broker-dealer hires a new agent, it must submit:

A) a U-5 form that includes information about the agent's name, address, education, employment history,
and marital status.
B) an REP form that includes information about the agent's name, address, education, and employment
history.
C) a U-4 form that includes information about the agent's name, address, and employment history.
D) a U-4 form that includes information about the agent's name, address, education, and employment
history.

5. Ms. Mix always assures her clients that she will be calling them with quarterly recommendations for
rebalancing their portfolios if there are any changes that she feels are appropriate. This has worked out
well for her pocketbook since she has always been able to tweak each of her clients' investment portfolios
a little each quarter by recommending that they redeem their shares in one fund that hasn't performed as
well in the last quarter and use the proceeds to invest in another that has. Her clients feel cared for since
she is in such regular contact with them. Is Ms. Mix violating any securities regulations with this policy of
hers?

A) No. Ms. Mix is merely providing good service to her customers.
B) It depends. There is no violation as long as her clients' portfolios are increasing in value.
C) Yes. Any recommendation that benefits a registered representative is deemed to be in violation of
FINRA's rules regarding fair dealing.
D) Yes. Mutual funds are not designed to be short-term investments.

Solutions: