FINRA Updated Series-7 Exam Questions and Answers by adil

treasury bills

certificates of deposit

commercial paper

banker’s acceptances

the commentary was permissible because the stock advanced as the registered representative forecast

this is a violation because the SEC requires all information about stock prices to be publicly announced

this statement constituted a form of fraud prohibited under the Securities Exchange Act of 1934

the comment is permissible only if the representative had been registered with the SEC under the Investment Advisors Act of 1940

withdraw money from the account

enter orders for the account at the representative’s discretion

withdraw securities from the account

all of the above

income from deductions and tax credits

the non-taxable portion of a distribution

income received but not reported

income reported but not received