FINRA Series7 Actual Tests : General Securities Representative Examination (GS)

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FINRA Series7 Exam Syllabus Topics:

FINRA General Securities Representative Examination (GS) Sample Questions:

1. When a member firm buys or sells securities directly as principal with a public customer, it is acting as:

A) a dealer
B) an agent
C) none of the above
D) a broker

2. The Securities Act of 1933 provides for:

A) extension of credit in the securities industry
B) all of the above
C) regulation of new issues of securities
D) establishment of the Securities and Exchange Commission

3. Big Easy Investment Banking, Inc., participates in a Western account underwriting of $10 million of
municipal bonds by agreeing to underwrite 10% of the issue. One week later, $4 million remains unsold
but Big Easy has distributed $1.5 million of bonds. What is the liability of Big Easy remaining in the
account?

A) $400,000
B) $600,000
C) $0
D) $1,000,000

4. Which of the following are direct obligations of the US government?

A) Import-Export bank bonds
B) both B and C
C) Farm Credit System bonds
D) Series EE bonds

5. A registered representative privately assures a customer that a certain stock will double within 18 months.
During this period the stock the stock performs as predicted. Which of the following statements is true?

A) the commentary was permissible because the stock advanced as the registered representative
forecast
B) this statement constituted a form of fraud prohibited under the Securities Exchange Act of 1934
C) this is a violation because the SEC requires all information about stock prices to be publicly announced
D) the comment is permissible only if the representative had been registered with the SEC under the
Investment Advisors Act of 1940

Solutions: