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FINRA Series7 Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Topic 1: Job Functions Overview | - Function 3: Provides Customers with Information About Investments and Makes Suitable Recommendations
|
FINRA General Securities Representative Examination (GS) Sample Questions:
Question 1
In a best efforts distribution of a new non-exempt issue, a broker/dealer:
A. agrees to buy the issue at a specified price
B. acts as an agent for the issuer
C. is not required to use an offering circular or prospectus
D. may allow a selling concession to a bank or trust company
Question 2
Bubba has a short margin account with equity of $15,000 and a credit balance of $28,000. What is the
current NYSE minimum equity maintenance requirement on Bubba's account?
A. $3,250
B. $3,750
C. $3,900
D. $4,500
Question 3
The net investment income of an open-end investment company represents:
A. net gains on sales of portfolio securities
B. net profits from the investment company operation
C. net income from dividends and interest paid on securities in the fund's portfolio
D. dividends, interest, and net gains on sales of securities
Question 4
Bubba buys a ten-year municipal and at 102 and sells it five years later at 101. What is tax treatment?
A. a $10 long-term capital loss is realized
B. the $10 loss is applied as a reduction against ordinary income
C. no capital loss or income deduction is realized
D. the $10 loss is applied against future profits in municipal securities
Question 5
Which of the following would not normally be a function of an investment banker?
A. providing long-term capital needs to client companies
B. providing short-term capital needs to client companies
C. underwriting new issues of securities
D. assisting in large secondary offerings of securities
Solutions:
| Question 1 Answer: B | Question 2 Answer: C | Question 3 Answer: C | Question 4 Answer: C | Question 5 Answer: B |
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