Finra actualtests finra Series-7 Questions Answers by Sylvie q80 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:	sylvie

Question 16

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

Options:

it must be approved by the SEC

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

it cannot exceed $1,500,000 in value

it must consist of common stock only

Discussion

Question 17

A dealer buys 100 shares of XYZ common, which is an actively traded stock, at 23.50. Three days later, when XYZ common is quoted at 19.50 - 19.75, he sells the 100 shares to a customer.

The basis for the dealer’s markup is:

Options:

10 5/8

19 7/8

23 1/2

5% above cost

Discussion

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Question 18

Bubba has not existing positions in his account and writes 1 XYZ July 60 put and 1 XYZ July 60 call.

What is this position called?

Options:

short combination

long combination

long straddle

short straddle

Discussion

Question 19

In order to determine the amount of estate tax due, if any, the assets of a decedent’s estate are valued as of the date of death. A second evaluation is then made:

Options:

three months after the date of death

six months after the date of death

one year after the date of death

at any time up to six months after the date of death