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

1. Which of the following statements regarding both a Uniform Gifts to Minors account (UGMA) and a
Uniform Transfers to Minors account (UTMA) is false?

A) Once established, the account is irrevocable.
B) There can be only one custodian named on the account.
C) The assets must be re-registered in the minor child's name when the child turns 18.
D) The account must be established in the name of one minor child only.

2. Under current tax law, in order for the profits from the sale of any investment to be considered long-term
capital gain income, the investment must have been held for:

A) longer than 6 months.
B) longer than 12 months.
C) longer than 18 months.
D) longer than 24 months.

3. Which of the following is not a characteristic of all auction stock exchanges in the U.S.?

A) If a stock is listed on one of these exchanges, it is not permitted to be listed on any other exchange.
B) Stocks that are traded on the exchange must meet certain listing requirements, determined by the
exchange.
C) In order to conduct a trade on the exchange, a broker must be a member of the exchange or hold a
license to trade on the exchange.
D) There is a central marketplace.

4. Any compensation earned by a broker-dealer and its registered representative on the sale of mutual fund
shares must be returned to the fund's underwriter if the purchaser decides to redeem his shares within:

A) 30 days.
B) 1 week.
C) 7 business days.
D) 5 business days.

5. 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 a reasonable sexual harassment case against Mr. Oldman for putting her in such a
position.
B) Ms. Newbie has done a remarkable job as a newly-minted representative of allocating at least a fourth
of Mr. Oldman's funds appropriately.
C) Ms. Newbie may lose her license before she gets started in the business for making an unauthorized
transaction.
D) 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.

Solutions: