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FINRA Series6 Exam Syllabus Topics:

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

2. Which of the following is not considered to be a "security" as defined by the Securities Exchange Act of
1 934?

A) a collateral trust certificate with an initial maturity of 5 years
B) an interest in an oil drilling lease
C) a bankers' acceptance, issued with a maturity of 4 months
D) a straddle that expires in 3 months

3. Steel Dynamics (STLD) has a convertible bond issue that matures in four years. The bond has a face
value of $1,000 and pays a coupon of 5.125%, with interest paid semiannually. The conversion ratio is
5 6.9801.If the stock of Steel Dynamics is currently priced at $15 a share, what is the conversion value of
this bond, to the nearest cent?

A) $175.50
B) Until it matures, the conversion value of the bond is equal to its face value of $1,000.
C) $569.80
D) $854.70

4. Which of the following persons would not fall under the definition of "investment adviser," under federal
guidelines?

A) None of the above would fall under the definition of "investment adviser," as defined by the Investment
Advisers Act of 1940.
B) an individual who works as an agent for a broker and occasionally gives investment advice to clients
who request it, but receives no additional compensation for doing so
C) a Denver-based, broker-dealer that is registered as a broker-dealer with the SEC and provides
investment advice to members of the Denver Broncos, the Colorado Rockies, the Denver Nuggets, and
the Colorado Avalanche organizations in exchange for box seats at their games. No monetary
compensation is expected or given.
D) an individual who advises only Oprah Winfrey on her investment portfolio and receives a nice salary for
doing so

5. Which of the following qualifies as an insider under the definition provided by the Securities Exchange Act
of 1934?
I. a member of the board of directors of a firm
II. the vice-president of marketing of a firm
III. an investor who owns 5% of the voting stock of the firm
IV. the daughter of the CEO of a firm

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

Solutions: