Series-7試験無料問題集（402題）「FINRA General Securities Representative Qualification Examination (GS) 認定」

出題：1

Which of the following pays interest at maturity only?

A. Income bonds

B. a corporate serial bond

C. US treasury bills

D. Series H savings bonds

正解：C 解答を投票する

解説: (GoShiken メンバーにのみ表示されます)

出題：2

Maintaining a fair and orderly market and acting as a broker's broker are dual functions of the:

A. specialist

B. odd-lot dealer

C. two-dollar broker

D. competitive trader

正解：A 解答を投票する

解説: (GoShiken メンバーにのみ表示されます)

出題：3

Bubba Securities, Inc. offers 3,000,000 shares of Top Notch Manufacturing Corporation common stock at $27 per share. The next day an advertisement appears in the Wall Street Journal announcing the offering and listing the names of some of the underwriting firms.
This ad is commonly referred to as a:

A. syndicate announcement

B. public offering

C. tombstone ad

D. sales directive

正解：C 解答を投票する

解説: (GoShiken メンバーにのみ表示されます)

出題：4

Which of the following is an acceptable deposit to answer an NYSE maintenance call?

A. SMA

B. US savings bond

C. all of the above

D. US treasury notes

正解：D 解答を投票する

解説: (GoShiken メンバーにのみ表示されます)

出題：5

The net asset value of a mutual fund was $9.72 last month. This month it is calculated at $9.85.
What is the change in value called?

A. capital gain

B. yield

C. appreciation

D. asset revaluation

正解：C 解答を投票する

解説: (GoShiken メンバーにのみ表示されます)

出題：6

Revenue bonds are least likely to provide constructions funds for:

A. a pollution control facility

B. an airport

C. a toll highway

D. a public school

正解：D 解答を投票する

解説: (GoShiken メンバーにのみ表示されます)

出題：7

The term "secondary market" refers to:

A. private placements

B. trading in issues of low quality

C. issues that banks are not permitted to underwrite

D. trading in outstanding issues

正解：D 解答を投票する

解説: (GoShiken メンバーにのみ表示されます)

出題：8

A public offering by an investment banker in which any securities not sold are returned to the issuer is known as:

A. a best efforts offering

B. an all or none offering

C. a firm commitment

D. a contingency offering

正解：A 解答を投票する

解説: (GoShiken メンバーにのみ表示されます)

出題：9

Which of the following sources provides news of prospective municipal securities sales to underwriters?

A. the daily Bond Buyer

B. the Blue List

C. The Wall Street Journal

D. the SEC News Digest

正解：A 解答を投票する

解説: (GoShiken メンバーにのみ表示されます)

出題：10

Bubba decides to buy equity securities. Which of the following statements is always true about what Bubba is buying?

A. they have a fixed maturity date

B. they have a fixed rate of return

C. they are not secured by collateral

D. they are readily marketable

正解：C 解答を投票する

解説: (GoShiken メンバーにのみ表示されます)

出題：11

Bubba buys one XYZ June 40 call for $1,000 and sells one XYZ March 40 call for $600. Subsequently, the June call is closed for $1,200 and the March call for $900.
What is Bubba's net result?

A. $100 profit

B. $200 loss

C. $200 profit

D. $100 loss

正解：D 解答を投票する

解説: (GoShiken メンバーにのみ表示されます)

出題：12

Most publicly owned securities are:

A. listed

B. over-the-counter

C. unregistered

D. exempt from SEC registration requirements

正解：B 解答を投票する

解説: (GoShiken メンバーにのみ表示されます)

出題：13

If the Federal Reserve wished to ease credit, which of the following steps would it take?

A. raise the discount rate

B. both B and C

C. lower reserve requirements

D. purchase securities in the open market

正解：B 解答を投票する

解説: (GoShiken メンバーにのみ表示されます)

出題：14

Bubba is buying a Federal Home Loan Bank issue that is offered at 95.22.
How much will he pay to purchase one bond?

A. $956.88

B. $952.20

C. $95.22

D. $951.63

正解：A 解答を投票する

解説: (GoShiken メンバーにのみ表示されます)

出題：15

A short sale can be made in which of the following types of accounts?

A. special memorandum account

B. margin account

C. a custodian account

D. special cash account

正解：B 解答を投票する

解説: (GoShiken メンバーにのみ表示されます)

出題：16

Which of the following sets out the details for the management board of condominiums, including the board's powers and limitations?

A. master deed

B. rental agreement

C. loan agreement

D. bylaws

正解：D 解答を投票する

解説: (GoShiken メンバーにのみ表示されます)

出題：17

An excerpt from a recent tombstone ad reveals bonds offered publicly at 101.
Why were they priced at a premium?

A. to provide the issuer with a larger deduction from pre-tax earnings for higher than usual interest payments

B. to comply with SEC rules mandating such pricing for debt issues maturing in the year 2000 and thereafter

C. to enable investors to establish a tax loss when the bonds are redeemed at maturity

D. to reflect prevailing credit ratings and market conditions for the issuer

正解：D 解答を投票する

解説: (GoShiken メンバーにのみ表示されます)

出題：18

The most common type of bond issued by a well-established company is:

A. an open-end mortgage

B. a convertible

C. a senior secured note

D. a debenture

正解：D 解答を投票する

解説: (GoShiken メンバーにのみ表示されます)

Series-7試験無料問題集「FINRA General Securities Representative Qualification Examination (GS) 認定」