최신 Series-7 무료덤프 - FINRA General Securities Representative Qualification Examination (GS)

문제1

After an extended period of backing and filling, a stock moves up sharply through a resistance level on heavy volume. A technical analyst would likely call this a:

A. breakout

B. buying climax

C. technical rally

D. buy-in

정답: A

설명: (DumpTOP 회원만 볼 수 있음)

문제2

A large manufacturing company has current assets of approximately $9,400,000 and current liabilities of about $4,900,000.
Which of the following statements is true about the current ratio?

A. it is substantially below the standard minimum

B. it is somewhat above the standard minimum

C. it is somewhat below the standard minimum

D. it is about the standard minimum

정답: C

설명: (DumpTOP 회원만 볼 수 있음)

문제3

Smart Company, Inc., has cash it intends to use in six months for purchase of equipment. The most prudent investment during the six-month period is:

A. treasury bills

B. common stock

C. treasury bonds

D. preferred stock

정답: A

설명: (DumpTOP 회원만 볼 수 있음)

문제4

In a triple net lease, which of the following is the tenant not responsible for paying?

A. maintenance

B. taxes

C. insurance premiums

D. financing charges

정답: D

설명: (DumpTOP 회원만 볼 수 있음)

문제5

The maximum contribution an employer may make to a SEP-IRA is:

A. $5,000

B. 100% of employee compensation

C. $4,000

D. 25% of employee compensation

정답: D

설명: (DumpTOP 회원만 볼 수 있음)

문제6

A front-end loan mutual fund plan is most suitable for:

A. an optional withdrawal plan

B. a voluntary accumulation plan

C. an automatic withdrawal plan

D. a contractual plan

정답: D

설명: (DumpTOP 회원만 볼 수 있음)

문제7

In the distribution of a new issue underwriters or selling group member are prohibited from:

A. selling to the public at the so-called public offering price

B. all of the above

C. selling to another broker or dealer who needs to fill an accommodation order

D. withholding blocks of a new issue in the member's account

정답: D

설명: (DumpTOP 회원만 볼 수 있음)

문제8

If recaptured deductions are added to income, recaptured investment tax credits are added to:

A. income

B. taxes

C. basis

D. gains

정답: B

설명: (DumpTOP 회원만 볼 수 있음)

문제9

The amount for which the securities of a close-end investment company are selling above net asset value is know as:

A. commission

B. sales charge

C. premium

D. discount

정답: C

설명: (DumpTOP 회원만 볼 수 있음)

문제10

Which of the information below does not appear in the official notice of sale?

A. the method and place of settlement

B. the amount of required good faith check

C. the names of underwriting syndicate members

D. the type of bond

정답: C

설명: (DumpTOP 회원만 볼 수 있음)

문제11

Which of the following would not normally be a function of an investment banker?

A. underwriting new issues of securities

B. providing short-term capital needs to client companies

C. providing long-term capital needs to client companies

D. assisting in large secondary offerings of securities

정답: B

설명: (DumpTOP 회원만 볼 수 있음)

문제12

Which of the following forms of underwriting is least likely for an offering of municipal bonds?

A. firm commitment

B. negotiated

C. best efforts

D. competitive bid

정답: C

설명: (DumpTOP 회원만 볼 수 있음)

문제13

To qualify as an intrastate offering under SEC Rule 147, which of the following is true of the issue?

A. it must be sold only to bona fide residents of one state

B. it must consist of common stock only

C. it must be approved by the SEC

D. it cannot exceed $1,500,000 in value

정답: A

설명: (DumpTOP 회원만 볼 수 있음)

문제14

Which of the following stock exchanges is not registered with the SEC?

A. Pacific Stock Exchange

B. all are registered

C. Chicago Stock Exchange

D. Boston Stock Exchange

정답: B

설명: (DumpTOP 회원만 볼 수 있음)

문제15

The term "mutual fund" is popularly used for which of the following?

A. closed-end investment companies

B. all investment companies

C. open-end investment companies

D. pension funds

정답: C

설명: (DumpTOP 회원만 볼 수 있음)

문제16

Municipalities are most likely to issue notes for which of the following purposes?

A. long-term financing

B. repairs to infrastructure

C. federal income tax payments

D. short-term cash needs

정답: D

설명: (DumpTOP 회원만 볼 수 있음)

문제17

Which of the following is not good delivery on a sale of 470 shares?

A. 47 10-share certificates

B. 4 100-share certificates and one 70-share certificate

C. 2 100-share certificates and 3 90-share certificates

D. 8 50-share certificates, one 40-share certificate, and one 30-share certificate

정답: C

설명: (DumpTOP 회원만 볼 수 있음)

문제18

Crossover is best defined as:

A. the point at which income exceeds deductions

B. the fact that there are more general partners than limited partners

C. the profit of limited partners exceeding profit of general partners

D. the point at which the program becomes profitable

정답: A

설명: (DumpTOP 회원만 볼 수 있음)

최신 Series-7 무료덤프 - FINRA General Securities Representative Qualification Examination (GS)

우리와 연락하기

유용한 링크

최신 업데이트