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

trade for dealer banks

trade for non-bank dealers

trade for their own account

both A and B

$2,500

$3,500

$6,000

$9,000

Pacific Stock Exchange

Boston Stock Exchange

Chicago Stock Exchange

all are registered

0

50%

30%

the compliment of the FRB initial margin requirement for listed stocks

by the FINRA

by the Federal Reserve Board

by competitive biding

by the terms of the bond

$100,000

$50,000

$25,000

$5,000

a tax credit available to investors in heavy equipment

deductions from gross income to offset lower value of equipment

return of principal from real estate investments

capitalized and amortized maintenance costs

the customer must approve each transaction in writing before the order is entered

the customer must grant written authorization to the member firm to exercise discretion in the account

the account must be accepted in writing by an officer of the member firm

both B and C

the commentary was permissible because the stock advanced as the registered representative forecast

this is a violation because the SEC requires all information about stock prices to be publicly announced

this statement constituted a form of fraud prohibited under the Securities Exchange Act of 1934

the comment is permissible only if the representative had been registered with the SEC under the Investment Advisors Act of 1940

general obligation bonds issued municipalities

special tax bonds issued by municipalities

revenue bonds issued by municipal port authorities

new housing authority bonds issued by a public housing authority