Series-7 Exam Dumps - FINRA General Securities Representative Questions and Answers

the company files regular financial data with the SEC

they are sold in agency transactions only

they are sold in principal transactions only

both A and B

long one put and short one call

long one call and short one put

long one put and short one call

long one call and long one put

$100

$1,000

$10,000

$100,000

5.88%

5.1%

5.00%

cannot be determined

the underwriter will be penalized his profit on any securities repurchased from his clients

all stock purchased will be returned to the issuing corporation

the manager will charge the syndicate the value of the shares

any shares repurchased are added to the treasury stock of the issuing corporation

calendar spread

money spread

straddle

combination

may not be levied under FINRA Conduct Rules

may not be levied unless there is no trading in the account for more than six months

may be levied only if the security has a value of less than $5,000

may be levied only if the charge if fair, reasonable, and non-discriminatory

high, reliable income

large deductions

potential for capital appreciation

low risk

the point at which the program becomes profitable

the point at which income exceeds deductions

the fact that there are more general partners than limited partners

the profit of limited partners exceeding profit of general partners

cash or property paid out

depletion of real property

losses

income from extraordinary sources