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Official Practice ProblemFINRA Series 7 Blueprint: Function 3
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Question #1084Function 3Moderate

Variable Annuity Accumulation Units vs. Annuity Units

When a variable annuity contract owner annuitizes the contract and enters the payout phase, what conversion occurs?

Correct Choice: A

Upon annuitization, the total value of accumulation units is converted into a FIXED number of Annuity Units. The number of annuity units never changes throughout retirement; the DOLLAR VALUE of each unit fluctuates with investment performance.

Complete Analysis & Legal Rationale

Monthly payout check = Fixed Number of Annuity Units × Fluctuating Annuity Unit Value.

Distractor Autopsy (Why Other Options Are Traps)

FINRA exam writers design incorrect distractors using specific calculation mistakes and regulatory misconceptions. Review why each option succeeds or fails:

Choice ACorrect
Accurate Annuity Mechanics

Fixed number of annuity units with fluctuating unit values based on portfolio returns.

Choice BIncorrect
Directional Inversion

Reverses the direction of conversion.

Choice CIncorrect
Liquidation Confusion

Annuitization provides lifetime income, not immediate cash liquidation.

Choice DIncorrect
Unit Fluctuation Fallacy

The NUMBER of annuity units is fixed; it never changes monthly.

Regulatory Authority & Citations:
FINRAFINRA Rule 2330Variable Annuity Annuitization
Question #1076ModerateMutual Fund Public Offering Price (POP) Calculation Formula

POP = NAV ÷ (100% - Sales Charge %) = $18.60 ÷ (1 - 0.07) = $18.60 ÷ 0.93 = $20.00 per share....

Question #1077FundamentalMutual Fund Sales Charge Percentage Formula

Sales Charge % = (POP - NAV) ÷ POP = ($12.00 - $11.40) ÷ $12.00 = $0.60 ÷ $12.00 = 5.00%....

Question #1078FundamentalClass A Mutual Fund Shares: Fee Structure and Breakpoint Eligibility

Class A shares charge a front-end sales charge paid at purchase, offer volume breakpoint discounts f...

Question #1079FundamentalClass B Mutual Fund Shares: CDSC and Conversion Mechanics

Class B shares have no front-end load, but impose a Contingent Deferred Sales Charge (CDSC) that dec...

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