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FINRA Updated Series-7 Exam Questions and Answers by jemima

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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: jemima
Question 40

Assuming all of the following bonds from the same issuer are callable now, which one would most likely get called first?

Options:

A.

8% maturing 1-15-2016

B.

8% maturing 1-15-2007

C.

4% maturing 1-15-2012

D.

4% maturing 1-15-2007

Discussion
Rae
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Question 41

Which of the following organizations usually has a prominent role in guiding investment policies of mutual funds?

Options:

A.

the plan company

B.

the management group

C.

the custodian bank

D.

the underwriter

Discussion
Question 42

A trust instrument drawn pursuant to the Trust Indenture Act of 1939 sets forth which of the following?

Options:

A.

the rights of stockholders

B.

the duties of the trustee

C.

the obligations of the issuing corporation

D.

both B and C

Discussion
Question 43

When an index option is exercised, settlement is made by:

Options:

A.

delivery of the underlying securities

B.

delivery of a futures contract

C.

cash

D.

any of the above

Discussion
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