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FINRA Series7 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| 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
|
| Seeks Business for the Broker-Dealer from Customers and Potential Customers | 9% | - Customer acquisition and prospecting
|
| 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:
1. A trust instrument drawn pursuant to the Trust Indenture Act of 1939 sets forth which of the following?
A) both B and C
B) the obligations of the issuing corporation
C) the duties of the trustee
D) the rights of stockholders
2. Which of the following is not classified as a money market instrument?
A) treasury bills
B) American Depository Receipts
C) banker's acceptances
D) commercial paper
3. In mid-September, Bubba sells one XYZ February 50 call at $6. It subsequently expires without being
exercised. How is the premium taxed?
A) the $600 premium constitutes ordinary income
B) the $600 premium is a capital gain
C) Bubba's cost of the underlying stock is reduced
D) the $600 premium is rolled over into another XYZ call with the next longest expiration date.
4. When an index option is exercised, settlement is made by:
A) delivery of a futures contract
B) delivery of the underlying securities
C) cash
D) any of the above
5. The agreement between the members of a syndicate and the manager is known as the:
A) selling agreement
B) standby agreement
C) underwriting agreement
D) agreement among underwriters
Solutions:
| Question # 1 Answer: A | Question # 2 Answer: B | Question # 3 Answer: B | Question # 4 Answer: C | Question # 5 Answer: D |
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