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Updated: Jun 02, 2026
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FINRA Investment Company and Variable Contracts Products Representative Examination (IR) Sample Questions:
1. Which of the following persons would not fall under the definition of "investment adviser," under federal
guidelines?
A) an individual who advises only Oprah Winfrey on her investment portfolio and receives a nice salary for
doing so
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) None of the above would fall under the definition of "investment adviser," as defined by the Investment
Advisers Act of 1940.
D) 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.
2. Which of the following statements regarding closed-end investment companies is false?
A) A closed-end investment company may not issue preferred stock.
B) Closed-end companies may be either diversified or non-diversified.
C) Shares of a closed-end company may sell for below the fund's net asset value.
D) The closed-end investment company does not pay taxes on the dividend and capital gain income it
earns and distributes to its shareholders.
3. Which of the following securities always sell at a discount from their face values?
I. Treasury bills
II. Treasury notes
III. industrial revenue bonds
IV. bankers acceptances
A) I and II only
B) II and III only
C) I and IV only
D) I only
4. Upon receiving approval via a majority vote of its shareholders, a mutual fund is permitted to:
A) change from a diversified company to a non-diversified company.
B) issue preferred stock.
C) retain any dividends and capital gains that it earned on its portfolio rather than paying them out to the
shareholders.
D) engage in margin transactions.
5. On Friday, August 6th, the Board of Directors of Ecolab (ECI) announced that it would pay a dividend of
$ 0.155 a share to shareholders of record as of Tuesday, September 21st.The dividend checks were
scheduled to be mailed on Friday, October 15th. In this scenario, the payment date is:
A) Friday, September 17th.
B) none of the above.
C) Friday, August 6th.
D) Tuesday, September 21st.
Solutions:
| Question # 1 Answer: B | Question # 2 Answer: A | Question # 3 Answer: C | Question # 4 Answer: A | Question # 5 Answer: B |
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