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Official Practice ProblemFINRA Series 7 Blueprint: Function 3
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Question #1085Function 3Moderate

Variable Annuity Assumed Interest Rate (AIR) Impact on Payouts

A variable annuity has an Assumed Interest Rate (AIR) of 4.0%. In January, the underlying sub-account portfolio generates an annualized return of 6.0%. How will the customer's February annuity payment compare to January's payment?

Correct Choice: A

THE AIR RULE: If actual sub-account performance EXCEEDS the AIR, the next annuity payment INCREASES. If actual performance EQUALS the AIR, payment stays FLAT. If actual performance is LESS than AIR, payment DECREASES.

Complete Analysis & Legal Rationale

Since 6% > 4% AIR, the customer's next check increases.

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 Rule Application

Actual performance (6%) > AIR (4%) -> Payment increases.

Choice BIncorrect
Performance Direction Inversion

Payment decreases only when performance is below the AIR.

Choice CIncorrect
Fixed Annuity Confusion

Variable annuity payments fluctuate; they are not fixed.

Choice DIncorrect
Downward Distortion

Performance exceeded AIR, so payment cannot decrease.

Regulatory Authority & Citations:
FINRAFINRA Rule 2330Assumed Interest Rate Benchmarks
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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