FINRA : Series7 Questions & Answers

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FINRA Series7 Exam Syllabus Topics:

FINRA General Securities Representative Examination (GS) Sample Questions:

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

2. Which of the following are considered to be discretionary orders under the FINRA Rules of Fair Practice?

A) a customer gives a member firm a check for $25,000 and instructs the firm to purchase bank stocks
and insurance company stocks when the prices appear to be favorable
B) a customer instructs her registered representative to sell 300 shares of ABC that is long in her account
whenever the representative thinks the time and price are appropriate
C) a customer instructs her registered representative to purchase stock in XYZ whenever the
representative deems the price to be right
D) both A and C

3. What expression is used to describe the application of income and revenues derived from the operation of
a facility financed from proceeds of a revenue bond?

A) flow of funds
B) debt service
C) revenue funding
D) disbursement of priorities

4. Bubba has a short margin account with a short market value of $22,000, a credit balance of $42,000, and
SMA of $500. What is the equity in Bubba's account?

A) $20,500
B) $37,000
C) $20,000
D) $500

5. Which of the following is true about option prices?

A) premiums on options for listed stocks are usually greater than on unlisted stocks
B) premiums on options of higher-priced stocks are usually greater than on lower-priced stocks
C) premiums on options of well-known companies are usually larger than on lesser-known companies
D) premiums on options of volatile stocks are usually larger than on less volatile stocks

Solutions: