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FINRA Series7 Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Job Functions Overview | - Function 1: Seeks Business for the Broker-Dealer
|
FINRA General Securities Representative Examination (GS) Sample Questions:
If a customer dies, the registered representative is required to:
- A. await instructions and necessary papers from the executor of the estate
- B. cancel all open (good 'til cancelled) orders
- C. both A and B
- D. sell out the account
Correct Answer: C 🗳️
Explanation: Only visible for ValidVCE members. You can sign-up / login (it's free).
Which of the following is not prohibited of a general partner?
- A. buying or selling assets of the partnership except to foster the business of the partnership
- B. acting in such a way as to impede the orderly business of the partnership
- C. competing in any way with the partnership
- D. accepting compensation from any other partnership
Correct Answer: D 🗳️
Explanation: Only visible for ValidVCE members. You can sign-up / login (it's free).
To accommodate a customer's order to buy an over-the-counter stock, a broker/dealer is permitted to:
- A. sell him shares from the firm's inventory
- B. sell these shares short to the customer
- C. act as agent on this transaction
- D. all of the above
Correct Answer: D 🗳️
Explanation: Only visible for ValidVCE members. You can sign-up / login (it's free).
Bubba has a short margin account with a short market value of $22,000, a credit balance of $42,000, and
SMA of $500. What is the NYSE minimum equity maintenance for this account?
- A. $6,600
- B. $5,500
- C. $12,600
- D. $6,000
Correct Answer: A 🗳️
Explanation: Only visible for ValidVCE members. You can sign-up / login (it's free).
The public offering price of the securities of an open-end management investment company is:
- A. the price used by distributors in determining sales incentive discounts to individual purchasers
- B. determined by the relative demand for the shares of the issuer
- C. determined by a method set forth in the prospectus of the issuer
- D. based upon net asset value of the securities underlying the shares of the issuer plus a 10 % sales
charge
Correct Answer: C 🗳️
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