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Finra
General Securities Representative
Series-7 Free Questions
Finra Series-7 Quiz:1 Topic:7 Questions:1-5

Home
Finra
General Securities Representative
Series-7 Free Questions
Finra Series-7 Quiz:1 Topic:7 Questions:1-5

Finra Series-7 Quiz:1 Topic:7 Questions:1-5

Free Practice Mock Questions Set 1-5 (Quiz # 1) for Finra Series-7 Exam, according to official Finra General Securities Representative ination (GS) exam syllabus topic # 7

Question: 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?

A6.8% net

B6.9% less 0.5

C$100.75

D5.00% net

Answer : D

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Question: 2

For what time period does a Form 144 remain in effect?

A30 days

B60 days

C90 days

Done year

Answer : C

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Question: 3

If a customer dies, the registered representative is required to:

Acancel all open (good 'til cancelled) orders

Bawait instructions and necessary papers from the executor of the estate

Csell out the account

Dboth A and B

Answer : D

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Question: 4

When depositors withdraw money from savings institutions to invest in US treasury securities, this is called:

Athe multiplier effect

Bdisintermediation

Creverse repo

Dopen market operations

Answer : B

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Question: 5

Bubba owns a subordinated debenture in a company that is liquidating.

When will he get paid?

Aafter the company pays its outstanding bills, but before paying bank loans

Bafter the bills are paid and the bank is paid, but before the preferred shareholders

Cbefore the holders of secured debt

Dafter the shareholders of preferred stock

Answer : B

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Quiz 1

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