최신 Series7 무료덤프 - FINRA General Securities Representative Examination (GS)
The total assets of a corporation are $840,000, of which $350,000 are current items. Total liabilities are
$ 460,000, of which $290,00 are fixed obligations. How much is the corporation's working capital?
$ 460,000, of which $290,00 are fixed obligations. How much is the corporation's working capital?
정답: C
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Bubba opens a margin account and sells short 100 shares of XYZ at $50. Assuming a Reg T requirement
of 50%, what is the opening balance in Bubba's account?
of 50%, what is the opening balance in Bubba's account?
정답: B
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What type of mutual fund would invest in equities and bonds?
정답: C
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Upon opening a new account for a customer, a registered representative should:
정답: C
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Municipal bonds would be least attractive as an investment for which of the following?
정답: C
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Bubba sells 100 shares of XYZ short at $58 and buys 1 XYZ Mar 60 Call at $3. What is the customer's
maximum loss?
maximum loss?
정답: B
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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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In the distribution of a new issue underwriters or selling group member are prohibited from:
정답: D
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Bubba buys one XYZ September 50 call at $7 and sells one XYZ September 60 call at $3. At that time,
XYZ stock is at $55. Bubba has no other stock positions. At what must XYZ trade for Bubba to break
even?
XYZ stock is at $55. Bubba has no other stock positions. At what must XYZ trade for Bubba to break
even?
정답: D
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Which of the following is true about a customer with a frozen account?
정답: B
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Bubba sells short 100 XYZ at $60 and makes the required Regulation T deposit of 50%. XYZ then rises I
price to $65. At this point what is the credit balance?
price to $65. At this point what is the credit balance?
정답: B
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A tax-free rollover of assets between qualified retirement plans for the benefit of a specific individual is
permitted so long as it is accomplished within:
permitted so long as it is accomplished within:
정답: A
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