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

1. Which of the following plans does not have the requirement that its participants must begin withdrawing
funds from the plan by April 1st of the year after they turn 70 1/2 ?
I. SIMPLE IRA
II. 401(k)
III. Roth IRA
IV. profit-sharing plan

A) I, III and IV only
B) I and III only
C) III only
D) All of the above have a mandatory distribution requirement.

2. One difference between a SEP-IRA and a SIMPLE IRA is that:

A) The SEP-IRA has a higher contribution limit than that allowed by a traditional IRA or a Roth IRA, but
the SIMPLE IRA contribution limits are the same as that of a traditional IRA or a Roth IRA.
B) Only employers can make contributions to a SEP-IRA; both employees and employers can contribute
to a SIMPLE IRA.
C) The contributions made to a SEP-IRA are tax deductible, which is not the case with a SIMPLE IRA.
D) There is no difference; both names refer to the same type of IRA that is available to a small business or
a self-employed individual.

3. NewWave Investments, a family of mutual funds, hires the star of a new motion picture about the
workings of Wall Street to provide a testimonial as part of NewWave's new television ad campaign. The
actor's financial adviser has, in fact, invested some of the actor's monies in NewWave's funds. NewWave
provides the actor with a script in which the actor explains the concept of dollar cost averaging to the
viewers. At the conclusion of the actor's explanation, the viewers are informed that the actor has been
paid for his testimonial, that his experience may not be representative of that of other clients, and that past
performance is no guarantee of future performance. Based on these facts:

A) NewWave has violated a FINRA rule requiring that any testimonial that contains a technical aspect
related to investing must be given by someone who has both the knowledge and experience to hold a
valid opinion on the topic.
B) NewWave has violated a FINRA rule that prohibits testimonials of public figures from being used in
advertisements.
C) NewWave has violated a FINRA rule stipulating that testimonial providers can receive no payment for
their testimonies.
D) NewWave has violated no rules; it has complied with all of FINRA's disclosure requirements.

4. Private placements are exempt from the registration requirements of the Securities Act of 1933 under the
rules contained in:

A) Regulation E.
B) Regulation
C) the Securities Exchange Act of 1934.
D) Regulation D.

5. Joan is a customer of GetErDone Broker-Dealers. Her twin sister, Jean, has accompanied her to
GetErDone's office and has gathered some information regarding opening an account with the firm, giving
it her contact information at the same time. Under Regulation S-P, which of the following statements
regarding GetErDone's handling of Joan's and Jean's personal information is true?

A) GetErDone must provide Joan with a notification of its privacy policies annually and provide her with
information on how to mandate that it not share her nonpublic personal information with nonaffiliated third
parties.
B) GetErDone is required to have provided Jean with a copy of its privacy policy when she inquired about
opening an account with the broker-dealer.
C) All of the above are true statements.
D) GetErDone can disclose any information that Jean provided them to nonaffiliated third parties since
Jean is not a customer of the broker-dealer.

Solutions: