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FINRA Updated Series-7 Exam Questions and Answers by sapphire

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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: sapphire
Question 48

The maximum contribution an employer may make to a SEP-IRA is:

Options:

A.

$4,000

B.

$5,000

C.

25% of employee compensation

D.

100% of employee compensation

Discussion
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Question 49

In the distribution of a new issue underwriters or selling group member are prohibited from:

Options:

A.

selling to the public at the so-called public offering price

B.

selling to another broker or dealer who needs to fill an accommodation order

C.

withholding blocks of a new issue in the member’s account

D.

all of the above

Discussion
Question 50

A four-letter symbol assigned to an issue is characteristic of an equity security that is:

Options:

A.

authorized for inclusion in the NASDAQ system

B.

listed on the NYSE

C.

admitted to unlisted trading privileges on a regional stock exchange

D.

trading in less than 100-share units on the American Stock Exchange

Discussion
Question 51

Which of the following sets of prices is that of a closed-end investment company?

Options:

A.

$7.50 $8.10

B.

$10.10 $11.00

C.

$28.14 $27.75

D.

$20.15 $21.85

Discussion
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