Important Tips to Pass FINRA Series-7 Exam Quickly

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Introduction to FINRA Series 7 Certification Exam

The Series 7 exam, the General Qualification Representatives Exam (GS) exam, assesses the competence of a registered representative at entry-level to exercise its function as the general representative of qualifications.

The exam measures the extent to which each candidate has the knowledge necessary to perform the essential functions of a general securities representative, including sales of corporate securities, municipal securities, investment company securities, variable annuities, direct participation programs, options, and government bonds.

Applicants must successfully complete the Securities Industry Essentials (SIE) and Series 7 exams to obtain registration from the Financial Representative General.

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FINRA General Securities Representative Qualification Examination (GS) Sample Questions (Q223-Q228):

NEW QUESTION # 223
To accommodate a customer's order to buy an over-the-counter stock, a broker/dealer is permitted to:

A. all of the above
B. sell these shares short to the customer
C. act as agent on this transaction
D. sell him shares from the firm's inventory

Answer: A

Explanation:
all of the above. All of the choices are normal ways for the broker to fill the customer's order.

NEW QUESTION # 224
In a triple net lease, which of the following is the tenant not responsible for paying?

A. taxes
B. maintenance
C. financing charges
D. insurance premiums

Answer: C

Explanation:
Explanation/Reference:
Explanation: financing charges. In a triple net lease, the tenant is responsible for taxes, insurance, and maintenance.

NEW QUESTION # 225
Which of the following is a right for shareholders of common stock?

A. the right to have the stock price increase
B. the right to dividends
C. both B and C
D. the right to vote about important matters of the company

Answer: D

Explanation:
the right to vote about important matters of the company. Shareholders have no expectation of stock price increase or dividends. They are entitled to receive dividends only if the board of directors declares them.

NEW QUESTION # 226
In which of the following situations may exemption from compliance with Regulation T be granted?

A. a broker/dealer conducts business only in registered securities
B. a broker/dealer transacting less than 10% of its business through a member of a securities exchange
C. a broker/dealer who does not offer margin accounts
D. none of the above

Answer: D

Explanation:
none of the above. No broker/dealer is exempt. Reg T covers cash accounts as well as margin accounts.

NEW QUESTION # 227
Which of the following municipal bonds may be grouped under the classification of "revenue bonds"?

A. limited tax
B. new housing authority
C. general obligation
D. special tax

Answer: D

Explanation:
special tax. The other categories are not revenue bonds. Special tax is the only type that fits the general grouping.

NEW QUESTION # 228
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