FINRA Series7 Actual Tests : General Securities Representative Examination (GS)

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FINRA Series7 Exam Syllabus Topics:

FINRA General Securities Representative Examination (GS) Sample Questions:

1. Big Guns Municipal Bond Dealer Corporation buys 100M of 7% 20-year GO bonds at par. The bonds are
marked up and immediately re-offered for sale. Which of the following re-offering prices would probably
be deemed excessive?

A) 6.9% less 0.5
B) 5.00% net
C) 6.8% net
D) $100.75

2. All sales literature and advertising relating to investment company shares prepared by members of FINRA
must be filed for review with which of the following?

A) FINRA
B) Federal Reserve Board
C) SEC
D) Anti-Trust Division of the Justice Department

3. The Bubba Fund is a load mutual fund that offers a reinvestment plan. What does this mean?

A) purchasers of fund shares must agree to make regular investments over a period of years
B) no federal income taxes are paid on dividends and capital gain distributions from the fund
C) income, dividend, and capital gain distributions may be automatically used to purchase new shares of
the fund
D) holders of fund shares are permitted to regularly purchase additional shares at the bid price

4. Bubba's margin account has $2,000 of SMA. If he buys $10,000 of new securities, how much additional
cash must he deposit assuming a Reg T requirement of 50%?

A) $4,800
B) $5,000
C) $3,000
D) $6,000

5. To accommodate a customer's order to buy an over-the-counter stock, a broker/dealer is permitted to:

A) act as agent on this transaction
B) sell these shares short to the customer
C) all of the above
D) sell him shares from the firm's inventory

Solutions: