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 statements incorrectly describes US securities markets?

A. a municipal market comprised of tax-exempt issues of state and local governments

B. a capital market comprised of long-term debt and equity issues

C. a government and agency market comprised of both short-term and long-term debt issues

D. a money market comprised of short-term debt and equity 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：2

Which of the following is not in the subscription agreement for a limited partnership offering?

A. qualification of the limited partners for the subscription

B. a record of sales of the partnership interests

C. identification of the limited partners

D. granting of power of attorney to the limited partners

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：3

Which of the following items is not deducted to determine a corporation's net income?

A. taxes

B. all of the above

C. dividends

D. interest

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

Bubba owns 200 shares of XYZ at $90, and wishes to hedge the position while generating income.
What is the best recommendation?

A. buy puts

B. buy calls

C. sell puts

D. sell calls

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 maximum contribution an employer may make to a SEP-IRA is:

A. 100% of employee compensation

B. $4,000

C. 25% of employee compensation

D. $5,000

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

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：7

The FINRA markup policy requires that over-the-counter transactions with a customer be at:

A. prices reasonably related to the current market price of the security

B. a markup not to exceed 5% of the current offering price

C. prices reasonably related to the dealer's cost

D. a markup based on previous activity in the customer's account

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：8

Upon opening a new account for a customer, a registered representative should:

A. inquire about age

B. all of the above

C. investigate the customer's credit rating

D. determine what is suitable for the customer based upon his financial background

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：9

Bubba buys one XYZ November 65 call at $3 and one XYZ November 65 put at $2. XYZ is trading at $72. The put expires and the call is closed at its intrinsic value.
What is the resulting profit?

A. $700

B. $200

C. $300

D. $500

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：10

If a customer dies, the registered representative is required to:

A. cancel all open (good 'til cancelled) orders

B. await instructions and necessary papers from the executor of the estate

C. sell out the account

D. both A and B

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：11

Bubba holds 200 shares of common stock in a utility company and receives rights to subscribe to an additional 100 shares at $20. The utility company is raising $40 million of new capital.
How many rights does Bubba receive?

A. 200

B. 100

C. 20

D. 50

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：12

Which of the following stock exchanges is not registered with the SEC?

A. Boston Stock Exchange

B. Chicago Stock Exchange

C. all are registered

D. Pacific Stock Exchange

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：13

Bubba's pledge to purchase a specified dollar amount of a mutual fund within a specified period of time is called:

A. a stock power

B. an investment letter

C. a letter of intent

D. a promissory note

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：14

Which of the following municipal bonds may be grouped under the classification of "revenue bonds"?

A. limited tax

B. special tax

C. general obligation

D. new housing authority

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：15

For a self-employed individual's retirement plan, ERISA permits an investment in which of the following?

A. a unit investment trust

B. all of the above

C. a variable annuity

D. a US Treasury bond

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)

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