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FINRA Updated Series-7 Exam Questions and Answers by lake

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FINRA Series-7 Exam Overview :

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: lake
Question 64

Initial margin deposit minimum requirements are set by the:

Options:

A.

NYSE

B.

FINRA

C.

FRB

D.

FDIC

Discussion
Question 65

Bubba owns stock with cumulative voting rights. There are five vacancies on a board and he owns 100 shares of stock. Bubba is entitled to cast the following votes:

Options:

A.

a total of 100 votes

B.

a total of 100 votes per

C.

a total of 500 votes

D.

you are not allowed to vote

Discussion
Osian
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Question 66

Which of the following is considered an intangible asset?

Options:

A.

marketable securities

B.

trademarks

C.

accounts receivable

D.

furniture

Discussion
Question 67

Bubba is a registered representative who wishes to buy shares of a new issue his firm is distributing. Under FINRA Conduct Rules, Bubba may:

Options:

A.

not do so under any circumstance

B.

do so if he has a history of buying hot issues

C.

not do so for his own account, buy may purchase shares for his sister’s account

D.

do so if his allotment is insubstantial and not disproportionate to public orders

Discussion
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