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FINRA Series7 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Provides Customers with Information About Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Customer recommendations and transactions
|
| Seeks Business for the Broker-Dealer from Customers and Potential Customers | 9% | - Customer acquisition and prospecting
|
| Obtains and Verifies Customers' Purchase and Sale Instructions and Agreements; Processes, Completes and Confirms Transactions | 7% | - Trade execution and settlement
|
| Opens Accounts After Obtaining and Evaluating Customers' Financial Profile and Investment Objectives | 11% | - Customer accounts and documentation
|
FINRA General Securities Representative Examination (GS) Sample Questions:
1. A registered representative privately assures a customer that a certain stock will double within 18 months.
During this period the stock the stock performs as predicted. Which of the following statements is true?
A) this statement constituted a form of fraud prohibited under the Securities Exchange Act of 1934
B) the commentary was permissible because the stock advanced as the registered representative
forecast
C) the comment is permissible only if the representative had been registered with the SEC under the
Investment Advisors Act of 1940
D) this is a violation because the SEC requires all information about stock prices to be publicly announced
2. Which of the information below does not appear in the official notice of sale?
A) the method and place of settlement
B) the type of bond
C) the amount of required good faith check
D) the names of underwriting syndicate members
3. When opening a brokerage account for a customer, a registered representative must determine the
customer's:
A) all of the above
B) investment objectives
C) financial resources
D) financial requirements
4. Regulation T is set at 50%. Bubba's account contains long positions in the following securities with the
prices listed
1 00 ABC $30
2 00 XYZ $70
2 00 QBB $40
2 00 KKK $25
Total market value = $30,000
Debit balance in the account = $12,000
Net equity balance of the account = $18,000
If Bubba wants to buy 100 shares of DUM at $30 per share, how much additional money must be
deposited?
A) $2,000
B) $0
C) $1,500
D) $3,000
5. Which of the following registered investment companies normally sells with an appropriate commission
added to the contract price?
A) a face-amount certificate company
B) a unit investment trust
C) a closed-end investment company
D) an open-end investment company
Solutions:
| Question # 1 Answer: A | Question # 2 Answer: D | Question # 3 Answer: A | Question # 4 Answer: B | Question # 5 Answer: C |
