FINRA Series7 : General Securities Representative Examination (GS)

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FINRA Series7 Exam Syllabus Topics:

FINRA General Securities Representative Examination (GS) Sample Questions:

Question 1

Who is responsible for verifying that limited partners meet net worth and income requirements?

A. the limited partners
B. the general partner
C. the sponsor
D. the registered representative

Question 2

In the distribution of a new issue, a dealer acting as an underwriter is said to have a:

A. divided account
B. free ride
C. firm commitment
D. firm market

Question 3

A stock with a current P/E of 17 is selling at $74.50 per share. What are the company's earnings in the
trailing 12 months?

A. $6.20
B. about $4.28
C. $1.70
D. impossible to calculate from this information

Question 4

A buy-in of a customer's sale transaction is mandated if the securities have not been received by the
broker/dealer within how many business days following the settlement date:

A. 30
B. 10
C. 20
D. 5

Question 5

Bubba Corporation has 3,500,000 shares of common stock outstanding and its trading volume in the few
weeks has been as follows:
Week 1 - 43,000
Week 2 - 30,900
Week 3 - 37,500
Week 4 - 42,600
Week 5 - 33,000 (the most recent week)
If an affiliated person wanted to liquidate some of his holding of 100,000 shares pursuant to SEC Rule
1 44, how many shares could he sell?

A. 37,400
B. 38,500
C. 35,000
D. 36,000

Solutions: