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

1. The essential difference between a 401(k) plan and a 403(b) plan is that:

A) only employers can contribute to 403(b) plans while both employers and employees can contribute to
4 01(k) plans.
B) the 403(b) plan is for employees of specific non-profit organizations whereas the 401(k) plan is for the
employees of private corporations.
C) contributions to 403(b) plans are always tax deductible, which is not the case with 401(k) plan
contributions.
D) the 403(b) plan is for small businesses while the 401(k) plan is for large corporations.

2. George Geek is 30 years old, single, and earns $103,000 a year as a software engineer for a small,
start-up IT company. George's company does not itself offer a retirement plan, and George is considering
his options. The current contribution limits for both the traditional IRA and Roth IRA plans is the lesser of
$ 5,000 or 100% of earned income. Which of the following statements applies to George's situation?

A) Assuming that George can contribute to both the traditional IRA and the Roth IRA under the current
income thresholds, he will be allowed to contribute $5,000 to each of the plans.
B) Assuming that George can contribute to both a traditional IRA and a Roth IRA under the current
income thresholds, his combined contribution to the two plans cannot exceed $5,000.
C) George's contributions to a traditional IRA will be tax-deductible.
D) George's contributions to a Roth IRA will be tax-deductible as long as his income is below the threshold
specified by the IRS for the current year.

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

4. 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) the investor will be able to buy or sell the security at a price he desires.
D) NASDAQ market makers provide investors with no assurance whatsoever. It is "buyer beware."

5. Liz is a new client of yours. She is 36 years old, single, and has been working and earning a nice salary
since her graduation from high school. She has been contributing the maximum allowed to a TSA plan
through her employer, and you have no reason to doubt that she will meet her stated goal to retire when
she is 58.She also has a good health care plan through her employer and is in excellent health. She has
been depositing her non-retirement savings in a money market fund and is not pleased at the pathetic
return she has been earning on her current balance of $140,000. Liz has been reading some articles on
the web and understands she could allocate her funds to receive a higher return. She's willing to take on a
moderate level of risk, but needs your help. She informs you that she does plan to use $40,000 of her
current savings as a down payment for a condo and that her investment goals are to have money
available for travel and for unexpected expenses and periodic purchases such as new cars and new
furniture as the needs arise. She pays taxes at the highest marginal tax rate for individual tax payers.
Based on these facts, which of the following asset allocations would best meet her needs?
I. Money market fund: 30%; investment-grade corporate bonds: 20%; blue-chip stocks: 20%; high-yield
bonds: 10%; small cap stocks: 10%; foreign stocks: 10%
II. Money market fund: 10%; investment-grade municipal bonds: 5%; blue-chip stocks: 25%; high-yield
bonds: 25%; small cap stocks: 10%; foreign stocks: 25%
III. Money market fund: 10%; investment-grade municipal bonds: 25%; growth stocks: 40%; small cap
stocks: 15%; foreign stocks: 10%