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

1. Which of the following correctly describe differences between a profit-sharing plan and a money purchase
plan?
I. An employer can elect to make no contribution to a profit-sharing plan in a bad year, but the employer
must make contributions to a money purchase plan, regardless.
II. Only employers make contributions to profit-sharing plans whereas both employers and employees can
contribute to a money purchase plan.
III. A profit-sharing plan is a defined benefit plan whereas a money purchase plan is a defined contribution
plan.

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

2. 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, II, and III
B) II and III only
C) I only
D) I and II only

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

4. A load mutual fund offers reduced load charges when an investor invests over $25,000 in the fund. Which
of the following can combine their funds in order to meet that breakpoint and get the reduced sales
charge?
I. Mr. and Mrs. Smith
II. Mrs. Smith and her 8-year-old daughter, Susie
III. Mr. Smith and his brother, Darwin
IV. The Smithereen Investment Club, of which Mr. and Mrs. Smith are co-chairpersons

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

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

A) Reinvested dividends and capital gain distributions count toward the amount stipulated in the letter of
intent.
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) 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.
D) An investor has 12 months in which to invest the amount stipulated in the letter.

Solutions: