FINRA General Securities Representative Examination (GS) : Series7

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FINRA Series7 Exam Syllabus Topics:

FINRA General Securities Representative Examination (GS) Sample Questions:

Question 1

Which of the following persons would consider annual reports of a corporation as the most important
factor in making investment decisions?

A. a chartist
B. a fundamental analyst
C. a technical analyst
D. a follower of the Dow theory

Question 2

Revenue bonds are least likely to provide constructions funds for:

A. a toll highway
B. a pollution control facility
C. a public school
D. an airport

Question 3

How many days after the settlement date must a broker/dealer "buy in" a customer who has failed to
deliver securities?

A. 10 days
B. 45 days
C. 30 days
D. 15 days

Question 4

An employer profit sharing plan may be described as:

A. a tax deferral plan
B. a retirement plan
C. all of the above
D. an income tax deduction

Question 5

Which of the following rights does an ADR holder not have?

A. the right to see financial statements
B. preemptive rights
C. the right to vote for your mother-in-law as a board member
D. the right to transfer ownership

Solutions: