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

1. Which of the following statements regarding a letter of intent is true?

A) An investor has 12 months in which to invest the amount stipulated in the letter.
B) A letter of intent may be backdated up to 90 days so that any purchases made during that prior time
period will count toward making a breakpoint.
C) Reinvested dividends and capital gain distributions count toward the amount stipulated in the letter of
intent.
D) An investor who signs a letter of intent and does not invest the amount stipulated must make up the
difference between the sales charge he paid and what he should have paid, plus interest.

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

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

3. The Securities Exchange Commission consists of:

A) 5 members, appointed by the President of the U.S., with Senate approval
B) 7 members, appointed by FINRA.
C) 5 members, appointed by the Secretary of Treasury of the U.S.
D) 6 members, elected by member firms.

4. Under FINRA's rules regarding proper supervision, member firms must:
I. have clear written procedures to supervise the activities of its principals, registered representatives, and
other associated persons.
II. designate as an office of supervisory jurisdiction (OSJ) any office of the member that engages in
maintaining custody of the funds and/or securities of the member's customers.
III. prohibit the use of any electronic communication method, including personal electronic devices, for
business-related communications unless the use of the devices can be properly supervised and the
communications retained.
IV. regularly evaluate the effectiveness of its supervisory policies.

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

5. A bond issued by the Needy Corporation pays an 8% coupon, matures in ten years, and is selling for its
face value of $1,000.The yield-to-maturity on this bond is:

A) indeterminable with the information provided.
B) greater than its coupon rate of 8%.
C) equal to its coupon rate of 8%.
D) less than its coupon rate of 8%.

Solutions: