Series-7 Actual Exam Dumps & Test Series-7 Questions

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Series-7 Actual Exam Dumps,Test Series-7 Questions,Series-7 Valid Study Guide,Dump Series-7 Torrent,Series-7 Latest Braindumps Ebook, Series-7 Actual Exam Dumps & Test Series-7 Questions

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The Series-7 exam is a comprehensive exam that covers a wide range of topics related to the securities industry. Some of the areas that are covered in the exam include investment risk, equity securities, debt securities, options, mutual funds, and retirement plans. The exam is designed to test the candidate's knowledge of these topics as well as their ability to apply that knowledge to real-world situations. The exam consists of 125 multiple-choice questions, and candidates are given 225 minutes to complete the exam.

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First-hand FINRA Series-7 Actual Exam Dumps: General Securities Representative Qualification Examination (GS)

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FINRA General Securities Representative Qualification Examination (GS) Sample Questions (Q81-Q86):

NEW QUESTION # 81
Which of the following sets of prices is that of a closed-end investment company?

A. $10.10 $11.00
B. $7.50 $8.10
C. $20.15 $21.85
D. $28.14 $27.75

Answer: D

Explanation:
Explanation/Reference:
Explanation: NAV=$28.14 and Asked Price=$27.75. In this case the ask price is less than NAV, which is never true of an open-end investment company.

NEW QUESTION # 82
Which of the following is not usually an additional function of a mutual fund's custodial bank?

A. transfer agent
B. registrar
C. dividend disbursing agent
D. investment advisor

Answer: D

Explanation:
Explanation/Reference:
Explanation: investment advisor. The custodial bank is usually also selected for other functions, but not as investment advisor. That assignment is generally performed by a special advisory firm or the mutual fund management company.

NEW QUESTION # 83
Regulation T is set at 50%. Bubba's account contains long positions in the following securities with the prices listed:
100 ABC $30
200 XYZ $70
200 QBB $40
200 KKK $25
Total market value = $30,000
Debit balance in the account = $12,000
Net equity balance of the account = $18,000
If Bubba wants to buy 100 shares of DUM at $30 per share, how much additional money must be deposited?

A. $1,500
B. $2,000
C. $0
D. $3,000

Answer: C

Explanation:
$0. The cost of Bubba's purchase is $3,000 (100 x $30). But Reg T only requires 50% in Bubba's account and he has that.

NEW QUESTION # 84
How many days after the settlement date must a broker/dealer "buy in" a customer who has failed to deliver securities?

A. 30 days
B. 15 days
C. 10 days
D. 45 days

Answer: C

Explanation:
10 days. The customer has 10 days to deliver before the broker will buy in the account.

NEW QUESTION # 85
Bubba buys a municipal bond at 102 and holds it ten years to maturity.
For tax purposes, how is that premium treated?

A. carried forward as a premium loss applied against profits realized on future municipal securities
B. amortized over the life of the bond resulting in no loss at maturity
C. recorded as a long-term capital loss
D. an ordinary loss taken as a deduction from taxable income

Answer: B

Explanation:
amortized over the life of the bond resulting in no loss at maturity. For tax purposes, premiums are amortized over the life of the bond. Some amount is taken each year.

NEW QUESTION # 86
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