Finra passcert series-7 Based On Real Exam Environment by Boris q360 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:	boris

Question 52

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

Options:

all correspondence to Bubba must be sent registered mail

each trade report must note Bubba’s certificate registration instructions

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

transactions for Bubba will be transferred to another broker for processing

Discussion

Question 53

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

Options:

an insurance policy

a fixed annuity

a corporate debt instrument

all of the above

Discussion

Question 54

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

Options:

business objective and centralized management

continuity of life of the business and limited liability

two or more associates and free transferability of assets

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:

blue sky provision

contra-market clause

fill or kill provision

market-out clause

Discussion

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