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FINRA Series7 valid - in .pdf
- Exam Code: Series7
- Exam Name: General Securities Representative Examination (GS)
- Q & A: 400 Questions and Answers
- PDF Price: $49.99
- Free Demo
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- Exam Name: General Securities Representative Examination (GS)
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FINRA Series7 valid - Testing Engine
- Exam Code: Series7
- Exam Name: General Securities Representative Examination (GS)
- Q & A: 400 Questions and Answers
- Software Price: $49.99
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About FINRA General Securities Representative Examination (GS) - Series7 exam braindumps
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FINRA Series7 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Seeks Business for the Broker-Dealer from Customers and Potential Customers | 7% | - Standards for advertising and public communications - Product-specific disclosures and regulatory requirements - Customer communication and solicitation rules |
| Topic 2: Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Direct participation programs - Equity securities - Debt securities and government obligations - Municipal securities - Investment companies, ETFs, and variable annuities - Margin accounts and taxation - Recordkeeping and regulatory reporting - Options and derivative products |
| Topic 3: Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 9% | - Financial profile, risk tolerance, and investment objectives - Suitability rules and regulatory compliance - Account types and documentation requirements |
| Topic 4: Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 11% | - Order types and execution procedures - Regulatory requirements for transaction processing - Trade settlement and confirmation rules |
FINRA General Securities Representative Examination (GS) Sample Questions:
Question #1
The minimum denomination for a US treasury bond is:
- A. $100,000
- B. $100
- C. $10,000
- D. $1,000
Answer: D
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Question #2
Bubba has been classified as a restricted person according to Rule 2790. He may purchase equity
securities of an IPO except:
- A. when the new issue of securities is purchased pursuant to a best effort basis
- B. when the transaction is exempt by an order of the FINRA
- C. when the new issue of securities is purchased pursuant to a stand-by agreement
- D. to purchase securities to avoid dilution
Answer: A
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Question #3
Big Easy Investment Banking, Inc., is participating in an Eastern account underwriting of $10 million of
municipal bonds by agreeing to underwrite 10% of the issue. One week later, $4 million remains unsold
but Big Easy has distributed $1.5 million of bonds. What is the liability of Big Easy remaining in the
account?
- A. $0
- B. $600,000
- C. $400,000
- D. $1,000,000
Answer: C
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Question #4
An investment company acting as a conduit in the distribution of net investment income, pursuant to IRS
rules, is called:
- A. diversified
- B. regulated
- C. balanced
- D. dual-purpose
Answer: B
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Question #5
Limited partnerships try to avoid recapture because:
- A. it increases the risk of a tax audit
- B. it turns potential capital gains into current taxable income
- C. it always increases the investor's tax bracket
- D. it may subject the partnership to the add-on tax
Answer: B
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