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FINRA Series7 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Provides Customers with Information About Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Investment products
|
| Obtains and Verifies Customers' Purchase and Sale Instructions and Agreements; Processes, Completes and Confirms Transactions | 7% | - Trade execution and settlement
|
| Seeks Business for the Broker-Dealer from Customers and Potential Customers | 9% | - Customer acquisition and prospecting
|
| Opens Accounts After Obtaining and Evaluating Customers' Financial Profile and Investment Objectives | 11% | - Customer accounts and documentation
|
FINRA General Securities Representative Examination (GS) Sample Questions:
Which of the following registered investment companies normally sells with an appropriate commission
added to the contract price?
- A. an open-end investment company
- B. a unit investment trust
- C. a closed-end investment company
- D. a face-amount certificate company
Correct Answer: C 🗳️
Explanation: Only visible for ActualPDF members. You can sign-up / login (it's free).
An offering price of 102 plus accrued interest applies to which of the following securities?
- A. certificates of deposit
- B. commercial paper
- C. banker's acceptances
- D. treasury bills
Correct Answer: A 🗳️
Explanation: Only visible for ActualPDF members. You can sign-up / login (it's free).
The definition of debentures is:
- A. collateralized securities
- B. a loan secured by real estate
- C. a worthless security
- D. securities backed by the general credit of the issuers but no specific collateral
Correct Answer: D 🗳️
Explanation: Only visible for ActualPDF members. You can sign-up / login (it's free).
The amount for which the securities of a close-end investment company are selling above net asset value
is know as:
- A. sales charge
- B. commission
- C. premium
- D. discount
Correct Answer: C 🗳️
Explanation: Only visible for ActualPDF members. You can sign-up / login (it's free).
What is the name for the rate of discount from the list price that is paid to a municipal securities
underwriting group member for its sales participation?
- A. spread
- B. takedown
- C. commission
- D. concession
Correct Answer: B 🗳️
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