FINRA Series 22 Exam | Most Important Questions & Answers

How to Prepare for FINRA Series 22 Exam?

FINRA Series 22 Exam Summary: Vendor

FINRA

Exam Code

Series 22

Full Exam Name

Series 22 - Direct Participation Programs Representative Exam

Number of Questions

50

Sample Questions

FINRA DR Exam Sample Questions and Answers

Practice Exam

FINRA Series 22 Exam Practice Test

Passing Score

70%

Time Limit

90 Minutes

Exam Fee

USD $100

Series 22 Certification Syllabus Content: Syllabus Topics: ● Seeks Business for the Broker-Dealer from Customers and Potential Customers - 34%

● Opens Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives - 8% ● Provides Customers with Information About Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records - 54% ● Obtains and Verifies Customers’ Purchase Instructions and Agreements; Processes, Completes and Confirms Transactions - 4%

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FINRA Direct Participation Programs Representative Exam Sample Questions

Que.: 1. Funds are received for a DPP offering that has not yet met its minimum subscription requirement. How must the funds generally be handled? Options: a) Deposited into the firm’s operating account b) Returned immediately to investors c) Held in escrow pending conditions d) Invested temporarily in money market funds

Answer: c) Held in escrow pending conditions

Que.: 2. When recommending a DPP to a retail customer, which standard must be met under Regulation Best Interest? Options: a) Lowest cost available b) Highest return potential

c) Act in the customer’s best interest d) Issuer preference

Answer: c) Act in the customer’s best interest

Que.: 3. In a DPP syndication, the dealer-manager coordinates due diligence and allocates participation to other broker-dealers. Which role best describes these activities? Options: a) Dealer-manager b) Finder c) Wholesaler d) Issuer-managed sponsor

Answer: a) Dealer-manager

Que.: 4. During account opening, unusual funding patterns are identified. What should the representative do? Options: a) Close the account automatically b) Notify the customer immediately c) Escalate per firm AML procedures d) Ignore unless losses occur

Answer: c) Escalate per firm AML procedures

Que.: 5. Before forwarding a DPP subscription to the issuer, the firm conducts a review. What is the primary purpose of this review? Options: a) To guarantee investment performance b) To verify suitability and completeness c) To renegotiate offering terms d) To determine secondary market value

Answer: b) To verify suitability and completeness

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