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FINRA Series7 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Seeks Business for the Broker-Dealer from Customers and Potential Customers | 9% | - Customer acquisition and prospecting
|
| Opens Accounts After Obtaining and Evaluating Customers' Financial Profile and Investment Objectives | 11% | - Customer accounts and documentation
|
| Obtains and Verifies Customers' Purchase and Sale Instructions and Agreements; Processes, Completes and Confirms Transactions | 7% | - Trade execution and settlement
|
| Provides Customers with Information About Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Investment products
|
FINRA General Securities Representative Examination (GS) Sample Questions:
Question 1
Bubba opens a margin account and sells short 100 shares of XYZ at $50. Assuming a Reg T requirement
of 50%, what is the opening balance in Bubba's account?
A. $5,000
B. $2,500
C. $7,500
D. $10,000
Question 2
A CMO is issued that has three tranches. One has an average life of 2 years. A second has an average
life of 10 years. The third has an average life of 30 years. Initially, interest payments are distributed in this
order:
A. first to the holders of the 30-year tranche
B. first to the holders of the 10-year tranche
C. first to the holders of the 2-year tranche
D. equally to all CMO holders of any tranche
Question 3
In June, Bubba bought 100 shares of XYZ at $35. In November, he bought a listed put in XYZ with a $35
strike price and a July expiration for a premium of $600. In April, Bubba exercises the put option and uses
his stock for delivery. What is his resulting tax consequence?
A. this is a wash sale and cannot be included in the investor's tax calculations
B. a $600 capital loss
C. neither profit nor loss
D. cannot be determined without knowing the market price of XYZ upon exercise
Question 4
When does a call option provide the most value to its holder?
A. when the underlying stock price is rising
B. when the underlying stock is extremely volatile
C. when there is a large open interest in that class of option
D. in the month prior to its expiration
Question 5
An investment company incapable of issuing a long-term debt instrument is:
A. a unit investment trust
B. a closed-end investment company
C. a face-amount certificate company
D. an open-end investment company
Solutions:
| Question 1 Answer: C | Question 2 Answer: D | Question 3 Answer: B | Question 4 Answer: A | Question 5 Answer: D |
