FINRA General Securities Representative Examination (GS) : Series7

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FINRA General Securities Representative Examination (GS) Sample Questions:

1. Prospective bidders for a municipal bond being issued should consult what document for relevant
procedures?

A) the SEC Registration Statement
B) the Eastern account agreement
C) the offering circular
D) the official notice of sale

2. Bubba is eligible for a Roth IRA. He may convert his SEP-IRA to a Roth IRA:

A) after a 90-day holding period
B) not ever
C) without restriction
D) only after the two-year holding period

3. Bubba owns a perpetual warrant to buy one share of Internet Corporation common stock at $30. Internet
Corporation stock is trading at 41.50 and is ex-dividend today at $0.75. What is the market value of
Bubba's warrant?

A) 5.38
B) cannot be determined from this information
C) 5.75
D) 5.62

4. A front-end loan mutual fund plan is most suitable for:

A) an optional withdrawal plan
B) a contractualplan
C) a voluntary accumulation plan
D) an automatic withdrawal plan

5. The FINRA markup policy requires that over-the-counter transactions with a customer be at:

A) a markup based on previous activity in the customer's account
B) a markup not to exceed 5% of the current offering price
C) prices reasonably related to the current market price of the security
D) prices reasonably related to the dealer's cost

Solutions: