Series7試験無料問題集（400題）「FINRA General Securities Representative Examination (GS) 認定」

出題：1

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：2

Which of the following are direct obligations of the US government?

A. Farm Credit System bonds

B. Series EE bonds

C. both B and C

D. Import-Export bank bonds

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：3

In which of the following situations may exemption from compliance with Regulation T be granted?

A. a broker/dealer conducts business only in registered securities

B. none of the above

C. a broker/dealer transacting less than 10% of its business through a member of a securities exchange

D. a broker/dealer who does not offer margin accounts

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：4

As a general rule, when a partnership is terminated, in what order are assets distributed?

A. general creditors, secured lenders, limited partners, general partners

B. general creditors, general partners, limited partners, secured lenders

C. secured lenders, limited partners, general creditors, general partners

D. secured lenders, general creditors, limited partners, general 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：5

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：6

Which of the following statements is not true about exchange traded options?

A. they are adjusted for stock splits

B. they are adjusted for stock dividends

C. they are adjusted for cash dividends

D. they are adjusted for reverse splits

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：7

Bubba is age 54 and has investments in a retirement plan with his former employer valued at $104,500.
Bubba withdraws $25,000 to open a retail clothing store. Which of the following statements is true
regarding Bubba's tax consequences?

A. a penalty of 10% of the withdrawn amount is assessed

B. a penalty of 10% on all assets in Bubba's account is assessed

C. the entire account is terminated and $104,500 is immediately taxable

D. only regular income tax is due on the amount withdrawn

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

Which of the following would not normally be a function of an investment banker?

A. assisting in large secondary offerings of securities

B. providing long-term capital needs to client companies

C. underwriting new issues of securities

D. providing short-term capital needs to client companies

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：9

Which of the following does not decrease basis?

A. depletion of real property

B. income from extraordinary sources

C. losses

D. cash or property paid out

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

Bubba has been classified as a restricted person according to Rule 2790. He may purchase equity
securities of an IPO except:

A. to purchase securities to avoid dilution

B. when the new issue of securities is purchased pursuant to a best effort basis

C. when the new issue of securities is purchased pursuant to a stand-by agreement

D. when the transaction is exempt by an order of the FINRA

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：11

If a customer fails to pay for securities purchased in a cash account, the member firm broker will do which
of the following?

A. grant an extension for a bona fide reason

B. purchase the securities for the firm's error account

C. place the securities temporarily in a general account

D. liquidate the securities or otherwise cancel the transaction

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

The price an investor pays for a listed option is called the

A. premium

B. strike price

C. exercise price

D. spread

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：13

Bubba owns 100 shares of XYZ at $58. He needs to limit his loss to 5 points or less and will accept a
longer time for the order to be executed, to make sure the loss does not exceed 5 points. Which of the
following orders would be the best recommendation?

A. buy stop order

B. sell limit order

C. sell stop-limit order

D. sell stop order

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)

Series7試験無料問題集「FINRA General Securities Representative Examination (GS) 認定」