Weekend Special 70% Discount Offer - Ends in 0d 00h 00m 00s - Coupon code: Board70

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

Question # 114

Which of the following has the greatest risk?

Options:

A.

a guaranteed corporate bond

B.

a GNMA bond

C.

a Series H bond

D.

a treasury bill

Buy Now
Question # 115

Bubba wishes to invest $50,000 in three mutual funds offered by different underwriters with growth as the main objective. A recommendation to purchase only one such fund for $50,000 might be more suitable to Bubba if:

Options:

A.

the growth in one fund will be greater than the combined growth in three

B.

the income from one fund will be greater than the combined income in three

C.

a withdrawal plan would be easier to employ using a single fund

D.

the purchase of one fund would probably be made at a break point allowing more dollars to be invested in fund shares

Buy Now
Question # 116

In order to determine the amount of estate tax due, if any, the assets of a decedent’s estate are valued as of the date of death. A second evaluation is then made:

Options:

A.

three months after the date of death

B.

six months after the date of death

C.

one year after the date of death

D.

at any time up to six months after the date of death

Buy Now
Question # 117

Which of the following option positions is indicative of the same class of option?

Options:

A.

long one XYZ July 70 put and one XYZ July 70 call

B.

long one XYZ October 20 call and one XYZ January 30 call

C.

short one XYZ February 60 put and one ABC February 60 put

D.

short one XYZ June 40 call and one ABC June 20 call

Buy Now
Question # 118

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

Options:

A.

the Blue List

B.

the daily Bond Buyer

C.

the SEC News Digest

D.

The Wall Street Journal

Buy Now
Question # 119

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

Options:

A.

a debenture

B.

a senior secured note

C.

a convertible

D.

an open-end mortgage

Buy Now
Question # 120

Bubba buys a municipal bond at a discount and holds it to maturity.

Which of the following is true?

Options:

A.

interest is taxable as ordinary income

B.

the capital gain is tax exempt

C.

interest is tax exempt, but the capital gain is taxable

D.

the capital gain is tax exempt, but the interest is taxable as ordinary income

Buy Now
Question # 121

Under which of the following conditions are homeowners most likely to refinance existing mortgages?

Options:

A.

when interest rates rise

B.

when interest rates fall

C.

when interest rates are stable

D.

when the yield curve is inverted

Buy Now
Question # 122

A new stock offering by Bubba Corporation provides details that state between 1,000,000 and 1,500,000 shares will be sold depending upon market conditions. This offering is a:

Options:

A.

best efforts

B.

standby

C.

mini-max

D.

market potential

Buy Now
Question # 123

What does the bond buyer placement ratio represent?

Options:

A.

the amount of municipal bonds held by banks and insurance companies as a percentage of municipal bonds outstanding

B.

the amount of municipal bonds distributed weekly as a percentage of each week’s new issue accounts of more than $1 million

C.

the amount of municipal bonds offered in the daily Blue List as a percentage of the day’s new issue amounts of more than $1 million

D.

the par value amount of municipal bonds offered in the Blue List as a percentage of the 30 -day visible supply for competitive and negotiated issues

Buy Now
Exam Code: Series-7
Exam Name: Series 7 General Securities Representative Qualification Examination (GS)
Last Update: Mar 12, 2025
Questions: 400
Series-7 pdf

Series-7 PDF

$25.5  $84.99
Series-7 Engine

Series-7 Testing Engine

$28.5  $94.99
Series-7 PDF + Engine

Series-7 PDF + Testing Engine

$40.5  $134.99