최신 Series-7 무료덤프 - FINRA General Securities Representative Qualification Examination (GS)
Under Rule 415 a corporation may file a single registration statement with the SEC covering its anticipated financing need for the next:
정답: D
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What percentage load is associated with a mutual fund quoted 16.60-18.04?
정답: A
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The maximum contribution an employer may make to a SEP-IRA is:
정답: D
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Feasibility studies and engineering surveys are most necessary prior to which of the following new offerings?
정답: C
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Bubba Corporation has a registered public offering of 750,000 shares at $40. An underwriter of 30,000 shares is advised by the manager that its retention will be 70%.
How many shares may the underwriter sell to its own customers?
How many shares may the underwriter sell to its own customers?
정답: A
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Regulation T is set at 50%. Bubba's account contains long positions in the following securities with the prices listed:
100 ABC $30
200 XYZ $70
200 QBB $40
200 KKK $25
Total market value = $30,000
Debit balance in the account = $12,000
Net equity balance of the account = $18,000
What is Bubba's excess equity in the account?
100 ABC $30
200 XYZ $70
200 QBB $40
200 KKK $25
Total market value = $30,000
Debit balance in the account = $12,000
Net equity balance of the account = $18,000
What is Bubba's excess equity in the account?
정답: C
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Bubba is eligible for a Roth IRA. He may convert his SEP-IRA to a Roth IRA:
정답: B
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Common stocks for which of the following industries are most likely to decline in value when interest rates rise?
정답: C
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A mutual fund characterized by a modest sales charge and an investment in a fixed portfolio of municipal securities is a:
정답: A
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In which of the following situations may exemption from compliance with Regulation T be granted?
정답: D
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An option that permits the holder to exercise the contract only at expiration is referred to as:
정답: A
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Under which of the following conditions are homeowners most likely to refinance existing mortgages?
정답: C
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Under what circumstances may a registered investment company change its investment objective?
정답: A
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Which of the following have a stated interest rate on the face of the certificates?
정답: B
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Big Easy Investment Banking, Inc., is participating in an Eastern account underwriting of $10 million of municipal bonds by agreeing to underwrite 10% of the issue. One week later, $4 million remains unsold but Big Easy has distributed $1.5 million of bonds.
What is the liability of Big Easy remaining in the account?
What is the liability of Big Easy remaining in the account?
정답: D
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The net investment income of an open-end investment company represents:
정답: D
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Bubba held one XYZ July 30 listed call option when XYZ split 2 for 1.
What is the resulting position, Bubba has on the Option Clearing Corporation's record?
What is the resulting position, Bubba has on the Option Clearing Corporation's record?
정답: A
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A mutual fund custodian is paid according to which of the following specifications when receiving deposits from a shareholder's reinvestment plan?
정답: A
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