Printable PDFFINRA FINRA-SERIES-7 dumps - 100% Pass Guarantee!
Vendor: FINRA
Certifications: FINRA Certifications
Exam Name: FINRA General Securities Representative Examination (GS)
Exam Code: FINRA-SERIES-7
Total Questions: 400 Q&As ( View Details)
Last Updated: Apr 19, 2024
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FINRA-SERIES-7 Q&A's Detail
| Exam Code: | FINRA-SERIES-7 |
| Total Questions: | 400 |
| Single & Multiple Choice | 400 |
CertBus Has the Latest FINRA-SERIES-7 Exam Dumps in Both PDF and VCE Format
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FINRA-SERIES-7 Online Practice Questions and Answers
What Federal Reserve Board regulation governs the extension of securities-related credit by banks?
A. Regulation G
B. Regulation T
C. Regulation U
D. Regulation X
In the offering of new securities, members of the syndicate are permitted to sell to other dealers less the reallowance. The amount of the reallowance is determined by:
A. the FINRA
B. the issuing corporation
C. the syndicate manager
D. the SEC
Under the terms of the 1970 Securities Investor Protection Act, what is the status of a customer whose account assets exceed SIPC insurance coverage when his broker/dealer becomes insolvent?
A. the US Treasury is pledged to make up the deficiency
B. all broker/dealers are assessed to fully satisfy the deficiency
C. the customer becomes a general creditor of the insolvent firm for the amount of deficiency
D. SIPC will issue a debenture to guarantee eventual repayment of the deficiency
Bubba wishes to invest $50,000 in three mutual funds offered by different underwriters with growth as the main objective. A recommendation to purchase only one such fund for $50,000 might be more suitable to Bubba if:
A. the growth in one fund will be greater than the combined growth in three
B. the income from one fund will be greater than the combined income in three
C. a withdrawal plan would be easier to employ using a single fund
D. the purchase of one fund would probably be made at a break point allowing more dollars to be invested in fund shares
What type of security is quoted with a bid price of 4.72 and an asking price of 4.68?
A. US treasury note
B. US treasury bill
C. US treasury bond
D. Series H bond
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- Apr 22, 2024
- Rating: 5.0 / 5.0
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