FINRA Series-7 Exam Dumps
General Securities Representative Qualification Examination (GS)
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FINRA Series-7 Sample Questions
Question # 1Bubba’s margin account has $1,000 of SMA. If he buys $20,000 of listed secu rities, how much fully paid margin stock must he deposit to respond to a Reg T requirement of 50%?
A. $20,000
B. $9,000
C. 10,000
D. $18,000
Question # 2
If a customer dies, the registered representative is required to:
A. cancel all open (good ‘til cancelled) orders
B. await instructions and necessary papers from the executor of the estate
C. sell out the account
D. both A and B
Question # 3
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:
A. 30 days
B. 60 days
C. 90 days
D. one year
Question # 4
Which of the following organizations usually has a prominent role in guiding investment policies of mutual funds?
A. the plan company
B. the management group
C. the custodian bank
D. the underwriter
Question # 5
Common stocks for which of the following industries are most likely to decline in valuewhen interest rates rise?
A. automobile manufacturers
B. airlines
C. stock brokers
D. public utility companies
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