최신 Series7 무료덤프 - FINRA General Securities Representative Examination (GS)
When does a call option provide the most value to its holder?
정답: C
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Which of the following pairs of terms are synonyms in connection with most mutual funds?
정답: A
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The market theory stating that the small investor is usually wrong is called the:
정답: B
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A management group may serve an investment company as its:
정답: D
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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:
main objective. A recommendation to purchase only one such fund for $50,000 might be more suitable to
Bubba if:
정답: D
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Bubba Corporation owes income tax. Which of the following may be tendered at par value for payment of
the tax?
the tax?
정답: A
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In order to determine the amount of estate tax due, if any, the assets of a decedent's estate are valued as
of the date of death. A second evaluation is then made:
of the date of death. A second evaluation is then made:
정답: D
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The net investment income of an open-end investment company represents:
정답: D
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The maximum contribution an employer may make to a SEP-IRA is:
정답: D
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A limit order is best describes as an order:
정답: C
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Which of the following is not found in the final prospectus?
정답: C
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Which of the following does not appear in a municipal syndicate letter to underwriters?
정답: A
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The net asset value of a mutual fund was $9.72 last month. This month it is calculated at $9.85. What is
the change in value called?
the change in value called?
정답: B
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Which of the following statements about the custodian for an open-end mutual fund is correct?
정답: D
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Bubba owns stock with cumulative voting rights. There are five vacancies on a board and he owns 100
shares of stock. Bubba is entitled to cast the following votes:
shares of stock. Bubba is entitled to cast the following votes:
정답: C
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The FINRA Conduct Rules permit a transaction made "seller's option" to be delivered earlier than the
expiration of the contract if:
expiration of the contract if:
정답: D
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Which of the information below does not appear in the official notice of sale?
정답: C
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When opening a brokerage account for a customer, a registered representative must determine the
customer's:
customer's:
정답: C
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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?
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?
정답: C
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