Free FINRA Series 6 (Investment Company and Variable Contracts Products Representative) Seeks Business for the Broker-Dealer from Customers and Potential Customers Practice Questions
Seeking business from customers and potential customers on the FINRA Series 6 exam covers retail communications and correspondence, FINRA Rule 2210 approval requirements, prospectus delivery, and the rules governing how representatives describe mutual funds and variable products to the public (FINRA).
Which fund communication is classified as a retail communication?
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Correct Answer: A
Solution
A is correct. FINRA Rule 2210(a)(5) defines a retail communication as a written communication, including an electronic communication, distributed or made available to more than 25 retail investors within a 30-calendar-day period. The brochure's distribution meets that threshold.
Question 2
Medium
Which communication is classified as a retail communication?
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Correct Answer: D
Solution
D is correct. Written communications distributed or made available to more than 25 retail investors within any 30-calendar-day period are retail communications. The brochure reaches 30 retail prospects within that period. FINRA Rule 2210(a)(5).
Question 3
Hard
Under FINRA Rule 2330, a member firm's obligations in connection with a customer's purchase of a deferred variable annuity include all of the following EXCEPT:
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Correct Answer: B
Solution
B is correct. Rule 2330 requires a registered principal to review and approve the transaction before the application is transmitted to the issuer (no later than seven business days after a complete application is received), a reasonable basis to believe the customer was informed of the annuity's material features, and firm surveillance procedures together with product-specific training. The rule does not require principal approval before a representative may first describe the contract to a customer.
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