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FINRA Updated Series-7 Exam Questions and Answers by boris

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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: boris
Question 52

Bubba opens an account at a broker/dealer with instructions to “transfer and ship”. This means that:

Options:

A.

all correspondence to Bubba must be sent registered mail

B.

each trade report must note Bubba’s certificate registration instructions

C.

securities purchased must be registered in Bubba’s name and then delivered to him

D.

transactions for Bubba will be transferred to another broker for processing

Discussion
Ernest
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Libby Aug 9, 2024
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Question 53

Mutual fund salespersons may not represent that a product is like of safer than:

Options:

A.

an insurance policy

B.

a fixed annuity

C.

a corporate debt instrument

D.

all of the above

Discussion
Question 54

Which of the following pairs of corporation characteristics are easiest for a partnership to avoid?

Options:

A.

business objective and centralized management

B.

continuity of life of the business and limited liability

C.

two or more associates and free transferability of assets

D.

continuity of life of the business and transferability of assets

Discussion
Question 55

A provision under which an underwriter can cancel a proposed public offering due to some unforeseen occurrence is known as a:

Options:

A.

blue sky provision

B.

contra-market clause

C.

fill or kill provision

D.

market-out clause

Discussion
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