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FINRA Series7 Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Job Functions Overview | - Function 3: Provides Customers with Information About Investments and Makes Suitable Recommendations
|
FINRA General Securities Representative Examination (GS) Sample Questions:
Which of the following are sources of funding for limited partnerships?
- A. periodic assessments on the partners
- B. installment payments
- C. all of the above
- D. proceeds of the offering
Correct Answer: C 🗳️
Explanation: Only visible for ActualPDF members. You can sign-up / login (it's free).
For an FINRA member firm to exercise discretionary power in any customer account requires written
authorization by that customer except when:
- A. only time and price of execution are involved
- B. the customer is a spouse of the registered representative
- C. both B and C
- D. the customer has given an oral approval after the transaction
Correct Answer: A 🗳️
Explanation: Only visible for ActualPDF members. You can sign-up / login (it's free).
Bubba Brokerage Corporation announces through its wire system that it has a large block of stock for sale.
Customers purchasing the stock will not pay a commission. The block is crossed on the NYSE floor and is
printed on the NYSE tape. This is called a:
- A. special order
- B. secondary distribution
- C. specialist block purchase
- D. exchange distribution
Correct Answer: D 🗳️
Explanation: Only visible for ActualPDF members. You can sign-up / login (it's free).
Which of the following has the least active secondary market:
- A. certificates of deposit
- B. commercial paper
- C. banker's acceptances
- D. treasury bills
Correct Answer: B 🗳️
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Bubba Corporation has a registered public offering of 750,000 shares at $40. An underwriter of 30,000
shares is advised by the manager that its retention will be 70%. How many shares may the underwriter
sell to its own customers?
- A. 21,000
- B. 9.000
- C. as many as it can up to a maximum of 51,000
- D. 30,000
Correct Answer: A 🗳️
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