FINRA General Securities Representative Examination (GS) : Series7 Exam Questions

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FINRA Series7 Exam Syllabus Topics:

FINRA General Securities Representative Examination (GS) Sample Questions:

1. A basis point is:

A) 0.01%
B) 0.10%
C) 0.001%
D) 1.00%

2. Maintaining a fair and orderly market and acting as a broker's broker are dual functions of the:

A) competitive trader
B) odd-lot dealer
C) specialist
D) two-dollar broker

3. The expiration date of a listed option is:

A) the Saturday following the third Friday of the expiration month
B) the last day of the expiration month
C) the third Friday of the expiration month
D) the third Saturday of the expiration month

4. What percentage load is associated with a mutual fund quoted 16.60-18.04?

A) 9%
B) 8.7%
C) cannot be determined from this information
D) 8%

5. Which of the following is not in the subscription agreement for a limited partnership offering?

A) qualification of the limited partners for the subscription
B) a record of sales of the partnership interests
C) granting of power of attorney to the limited partners
D) identification of the limited partners

Solutions: