Try FINRA : Series6 valid & accurate questions and answers
Updated: Jul 29, 2026
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FINRA Series6 Exam Overview:
| Certification Vendor: | FINRA (Financial Industry Regulatory Authority) |
| Exam Name: | Investment Company and Variable Contracts Products Representative Examination (IR) |
| Exam Number: | Series 6 |
| Exam Format: | Multiple choice |
| Related Certifications: | Securities Industry Essentials (SIE) Exam Series 63 (Uniform Securities Agent State Law Exam) |
| Exam Duration: | 90 minutes |
| Real Exam Qty: | 50 |
| Passing Score: | 70% |
| Exam Price: | USD 100 |
| Available Languages: | English |
| Sample Questions: | FINRA Series6 Sample Questions |
| Exam Way: | Computer-based testing at Prometric centers or via approved remote delivery |
| Pre Condition: | Must be associated with and sponsored by a FINRA member firm or other applicable self-regulatory organization member; passing SIE exam required |
| Official Syllabus URL: | https://www.finra.org/registration-exams-ce/qualification-exams/series6 |
FINRA Series6 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 10% | - Transaction processing and verification |
| Topic 2: Opens Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 16% | - Account opening procedures and financial profile evaluation |
| Topic 3: Provides Customers with Information About Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records | 50% | - Product information, suitability, recordkeeping and transfers |
| Topic 4: Seeks Business for the Broker-Dealer from Customers and Potential Customers | 24% | - Topics in communications, marketing, and solicitation activities |
FINRA Investment Company and Variable Contracts Products Representative Examination (IR) Sample Questions:
1. A discretionary account authorization permits a registered representative to decide:
A) how much of an asset to buy or sell for the account.
B) what specific asset to purchase or sell.
C) all of the above.
D) whether to make a purchase or a sale.
2. Uncle Scrooge (uncharacteristically) wants to set up a Section 529 college savings plan for his nephew,
Louie. If he does so:
A) he can contribute at most $2,000 a year.
B) and Louie decides not to go to college, Uncle Scrooge can name Louie's brother, Huey, as the
beneficiary of the plan without any tax consequences.
C) his contributions will be tax deductible.
D) any withdrawals that Louie makes to cover tuition, books, and room and board will be free from both
federal and state taxes.
3. Eddie and Edith open a JTWROS account with you. This means that:
I. You can accept a buy or sell order from either Eddie or Edith.
II. Any check that is drafted upon a request to withdraw funds can be written to either Eddie or Edith, or
both.
III. If either Eddie or Edith die, the account assets will pass to that individual's estate, based on his or her
percentage ownership of the account.
IV. Correspondence concerning the account can be sent to either Eddie or Edith.
A) I only
B) I and IV only
C) I and II only
D) I, II, III, and IV
4. The American Funds family of funds offers numerous funds to investors. Among these are a U.S.
government bond fund, a high-yield corporate bond fund, a diversified emerging markets fund, and a large
stock growth fund. Of these four, the one that would expose the investor to the most social and political
risk is its:
A) large stock growth fund.
B) high-yield corporate bond fund.
C) U.S. government bond fund.
D) diversified emerging markets fund.
5. Tex Payor owns 500 shares of Amazon.com, Inc. that he bought seven years ago when the stock price
was $18 a share, at which time he paid a commission of $12.95 to purchase the stock. At the beginning of
this year, Amazon was selling for $89 a share. Today, December 31st, Amazon's stock closed at $152 a
share. Based on this information, what must Tex include on this year's tax return as taxable income from
his investment in Amazon?
A) none of the above
B) the value of the stock on December 31st minus the price he paid for it, which includes the commission
he paid, divided by the 7 years he has owned the stock: $152 - ($18 + $12.95) x 500 shares = $60,525 / 7
= $8,646
C) only the capital appreciation on the stock this year: $63 a share x 500 shares = $31,500
D) the capital appreciation on the stock this year minus the commission he originally paid to purchase the
stock:($63 - $12.95) x 500 = $25,025
Solutions:
| Question # 1 Answer: C | Question # 2 Answer: B | Question # 3 Answer: B | Question # 4 Answer: D | Question # 5 Answer: A |
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