Download FINRA : Series6 Questions & Answers as PDF & Test Software
Updated: Jun 05, 2026
No. of Questions: 325 Questions & Answers with Testing Engine
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Series6 Practice Q&A's
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FINRA Investment Company and Variable Contracts Products Representative Examination (IR) Sample Questions:
1. Which of the following securities laws regulates the organizational structure and day-to-day operations of
investment companies?
A) The Investment Company Act of 1940
B) The Investment Advisers Act of 1940
C) The Securities Act of 1933
D) The Securities Exchange Act of 1934
2. NASDAQ market makers provide investors with assurance that:
A) there is a market for the listed security.
B) the investor will be investing in a high quality investment with relatively low risk.
C) NASDAQ market makers provide investors with no assurance whatsoever. It is "buyer beware."
D) the investor will be able to buy or sell the security at a price he desires.
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 that prohibits testimonials of public figures from being used in
advertisements.
B) 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.
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. Which of the following securities is not exempt from registration requirements?
A) private-placement variable universal life insurance
B) a revenue bond issued by the state of Florida to raise money to build an airport
C) a bond issued by the U.S. post office
D) a new issue of stock issued by a corporation that already has shares of its stock trading on the NYSE
5. After passing the Series 6 and becoming a registered representative, you will be able to execute
transactions in which of the following securities?
I. corporate stocks
II. mutual funds
III. corporate bonds
IV. variable contracts
A) I, II, and IV only
B) II and III only
C) I, II, III, and IV
D) II and IV only
Solutions:
| Question # 1 Answer: A | Question # 2 Answer: A | Question # 3 Answer: B | Question # 4 Answer: D | Question # 5 Answer: D |
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By Harriet
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By Tammy
I studied Series6 exam preparation guide whenever I had the time and when the training was complete I gave the FINRA exam. I am so pleased that I can pass the exam in my first attempt.
By Abraham
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