Finra 2cram all Series-7 Test Inside Finra Questions by Milan q240 vce pdf

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Exam Name:	Series 7 General Securities Representative Qualification Examination (GS)
Exam Code:	Series-7 Dumps
Vendor:	FINRA	Certification:	General Securities Representative
Questions:	400 Q&A's	Shared By:	milan

Question 44

When a member firm buys or sells securities directly as principal with a public customer, it is acting as:

Options:

a dealer

a broker

an agent

none of the above

Discussion

Question 45

Bubba wishes to invest $50,000 in three mutual funds offered by different underwriters with growth as the main objective. A recommendation to purchase only one such fund for $50,000 might be more suitable to Bubba if:

Options:

the growth in one fund will be greater than the combined growth in three

the income from one fund will be greater than the combined income in three

a withdrawal plan would be easier to employ using a single fund

the purchase of one fund would probably be made at a break point allowing more dollars to be invested in fund shares

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Question 46

What does the following mean when printed on the stock exchange ticker tape?

Options:

one hundred shares of MST traded on the exchange and appear out of order on the tape

trading was suspended on MST pending dissemination of news

the last sale of MST was for 100 shares at 98.25

the preceding transaction in MST was two or more points different than 98.25

Discussion

Question 47

All sales literature and advertising relating to investment company shares prepared by members of FINRA must be filed for review with which of the following?

Options:

Anti-Trust Division of the Justice Department

SEC

Federal Reserve Board

FINRA