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FINRA Series-7 Dumps

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FINRA Series-7 Sample Questions

Question # 1

The general purpose of the Securities Act of 1933 is to:

A. regulate the activities of investment advisers 
B. regulate the sale of securities on national exchanges 
C. provide for disclosure of information about new securities offerings 
D. provide for disclosure of the financial condition of underwriters 



Question # 2

A mutual fund with an 8% load and a 1% redemption fee carries a current quote of $6.25 - $6.79. If an investor has tendered his shares for redemption on that basis, the per shareprice he will receive is approximately:

A. $6.79 
B. $6.72 
C. $6.25 
D. $6.19 



Question # 3

How much currency is one mil worth?

A. one-tenth of one cent 
B. one-tenth of $1 
C. one-tenth of $100 
D. one-tenth of $1,000 



Question # 4

In the sale of open-end investment company shares, the amount at which the sales charge is reduced on quantity transactions is referred to as the:

A. margin 
B. breakpoint 
C. split 
D. spread 



Question # 5

At the time it underlying stock is trading at 48, Bubba buys a listed call option with a $50 strike price for $300. At what minimum price must that stock trade for Bubba to recover hisinvestment (ignoring commission and taxes)?

A. $45 
B. $48 
C. $51 
D. $53 



Question # 6

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 - 37,500Week 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 144, how many shares could he sell?

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



Question # 7

Bubba holds 200 shares of common stock in a utility company and receives rights to subscribe to an additional 100 shares at $20. The utility company is raising $40 million of new capital. How many rights does Bubba receive?

A. 20 
B. 50 
C. 100 
D. 200 



Question # 8

Call loans made by banks to broker/dealers are generally for the purpose of which of the following?

A. expansion of office facilities 
B. meeting operating expenses 
C. carrying margin accounts 
D. financing securities held in inventory 



Question # 9

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



Question # 10

To accommodate a customer’s order to buy an over-the-counter stock, a broker/dealer is permitted to:

A. sell him shares from the firm’s inventory 
B. sell these shares short to the customer 
C. act as agent on this transaction 
D. all of the above 



Question # 11

The expiration date of a listed option is:

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



Question # 12

Which of the following securities is traded only in the over-the-counter market?

A. corporate bonds 
B. preferred stocks 
C. open-end investment companies 
D. closed-end investment companies 



Question # 13

For a self-employed individual’s retirement plan, ERISA permits an investment in which of the following?

A. a unit investment trust 
B. a variable annuity 
C. a US Treasury bond 
D. all of the above 



Question # 14

An offering price of 102 plus accrued interest applies to which of the following securities?

A. treasury bills 
B. certificates of deposit 
C. commercial paper 
D. banker’s acceptances 



Question # 15

In a firm commitment offering, any shares that are not sold are:

A. returned to the issuing corporation 
B. listed in the over-the-counter market 
C. transferred to treasury stock 
D. owned by the members of the syndicate 



Question # 16

In which of the following situations may exemption from compliance with Regulation T be granted?

A. a broker/dealer who does not offer margin accounts 
B. a broker/dealer conducts business only in registered securities 
C. a broker/dealer transacting less than 10% of its business through a member of a securities exchange 
D. none of the above 



Question # 17

What type of mutual fund would invest in equities and bonds?

A. dual purpose 
B. balanced 
C. technology 
D. growth 



Question # 18

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:

A. a total of 100 votes 
B. a total of 100 votes per 
C. a total of 500 votes 
D. you are not allowed to vote 



Question # 19

Which of the following statements about mutual fund fees is accurate?

A. the management group receives a fee based upon the amount of assets in the fund 
B. the sponsor receives a management fee for buying and selling the fund’s portfolio securities 
C. the management group receives part of the sales charge in addition to a management fee 
D. the custodian receives part of the management fee in addition to a fee for safekeeping of the fund’s securities 



Question # 20

Regulation A permits a short form of filing for offerings of new securities provided the total amount of the offering does not exceed:

A. $1,000,000 
B. $5,000,000 
C. $2,000,000 
D. $2,500,000 



Question # 21

The public offering price of the securities of an open-end management investment company is:

A. determined by a method set forth in the prospectus of the issuer 
B. based upon net asset value of the securities underlying the shares of the issuer plus a 10 % sales charge 
C. determined by the relative demand for the shares of the issuer 
D. the price used by distributors in determining sales incentive discounts to individual purchasers 



Question # 22

Bubba buys 100 shares of XYZ stock at $40 per share and sells a listed July XYZ call at 45 for a $2 premium. What is his loss potential?

A. $3,800 
B. $4,000 
C. $4,200 
D. $4,500 



Question # 23

A short sale can be made in which of the following types of accounts?

A. special cash account 
B. a custodian account 
C. margin account 
D. special memorandum account 



Question # 24

Which of the following is not usually an additional function of a mutual fund’s custodial bank?

A. transfer agent 
B. investment advisor 
C. registrar 
D. dividend disbursing agent 



Question # 25

Which of the following is not a marketable security?

A. tax anticipation bonds 
B. municipal bonds 
C. treasury bonds 
D. Series EE bonds 



Question # 26

A trust instrument drawn pursuant to the Trust Indenture Act of 1939 sets forth which of the following?

A. the rights of stockholders 
B. the duties of the trustee 
C. the obligations of the issuing corporation 
D. both B and C 



Question # 27

Which of the following is least relevant in evaluating the safety of a general obligation bond?

A. per capital debt 
B. total GO debt as a percentage of market value of property 
C. total GO debt as a percentage of assessed value of property 
D. total debt service as a percentage of net operating revenue 



Question # 28

Which of the following have a stated interest rate on the face of the certificates?

A. treasury bills 
B. treasury notes 
C. treasury bonds 
D. both B and C 



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