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FINRA General Securities Representative Qualification Examination (GS) Sample Questions (Q49-Q54):
NEW QUESTION # 49
The amount for which the securities of a close-end investment company are selling above net asset value is know as:
- A. commission
- B. sales charge
- C. discount
- D. premium
Answer: D
Explanation:
premium. The price of closed-end investment companies is determined by trading of their shares in the open market. The price may be a discount to net asset value or a "premium" above net asset value.
NEW QUESTION # 50
To qualify as an intrastate offering under SEC Rule 147, which of the following is true of the issue?
- A. it must be approved by the SEC
- B. it must consist of common stock only
- C. it must be sold only to bona fide residents of one state
- D. it cannot exceed $1,500,000 in value
Answer: C
Explanation:
it must be sold only to bona fide residents of one state. Under Rule 147 intrastate offerings are sold only to residents of one state and cannot be sold outside that state for nine months. All the other choices are incorrect about the rule.
NEW QUESTION # 51
What is the maximum amount of gift to customers or other individuals related to the securities business that a registered representative is permitted to give?
- A. $500
- B. $200
- C. $50
- D. $100
Answer: D
Explanation:
$100. This is the maximum per FINRA rules.
NEW QUESTION # 52
Initial margin deposit minimum requirements are set by the:
- A. NYSE
- B. FRB
- C. FINRA
- D. FDIC
Answer: B
Explanation:
FRB. The Federal Reserve Board sets the initial margin deposit requirements. The NYSE set the ongoing minimum equity requirements.
NEW QUESTION # 53
Bubba buys one XYZ September 50 call at $7 and sells one XYZ September 60 call at $3. At that time, XYZ stock is at $55. Bubba has no other stock positions.
What is Bubba's maximum possible profit?
- A. $500
- B. unlimited
- C. $1,000
- D. $600
Answer: D
Explanation:
Explanation/Reference:
Explanation: $600. The maximum profit is the difference between strike prices less the debit amount. The debit amount is $4 ($7 - $3). The difference between strike prices is $10 ($60 - $50). Multiply the $6 difference by 100, which is the number of shares on one option.
NEW QUESTION # 54
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