FINRA : Series7 Questions & Answers
Updated: May 29, 2026
No. of Questions: 400 Questions & Answers with Testing Engine
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FINRA General Securities Representative Examination (GS) Sample Questions:
1. Which of the following statements about the custodian for an open-end mutual fund is correct?
A) the custodian performs all management, supervisory, or investment functions
B) the custodian takes part in the sale of fund shares
C) the custodian affords protection against decline in value of fund shares
D) the custodian may perform an essential clerical service for the fund and its shareholders
2. Which of the following persons would consider annual reports of a corporation as the most important
factor in making investment decisions?
A) a follower of the Dow theory
B) a technical analyst
C) a chartist
D) a fundamental analyst
3. The principal underwriter of an open-end investment company is frequently called:
A) investment counselor
B) selling group member
C) participating investment advisor
D) sponsor
4. Which of the following is true about a customer with a frozen account?
A) may make purchases but not sales of corporate securities
B) may not trade corporate securities under any circumstances
C) must deposit sufficient cash for each transaction no later than the settlement date
D) must deposit the full purchase cost before an order is executed
5. A provision under which an underwriter can cancel a proposed public offering due to some unforeseen
occurrence is known as a:
A) blue sky provision
B) fill or kill provision
C) market-out clause
D) contra-market clause
Solutions:
| Question # 1 Answer: D | Question # 2 Answer: D | Question # 3 Answer: D | Question # 4 Answer: D | Question # 5 Answer: C |
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