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FINRA Series7 Exam Syllabus Topics:

FINRA General Securities Representative Examination (GS) Sample Questions:

1. Which of the following is not an intangible drilling cost?

A) repairs
B) salaries
C) machinery and pipe
D) supplies and fuel

2. A registered representative is given a limited trading authorization by a client. This permits the
representative to:

A) all of the above
B) withdraw money from the account
C) enter orders for the account at the representative's discretion
D) withdraw securities from the account

3. What is the term applied to a classification of CMO securities having a stated maturity, average life, and
estimated yield?

A) tier
B) bucket
C) tranche
D) bracket

4. Which of the following does not appear in the official notice of sale?

A) denominations and registration privileges
B) method and place of settlement
C) an offering scale of serial maturates
D) amount of good faith check required

5. Which of the following securities provides the longest term of option privilege?

A) rights
B) puts
C) calls
D) warrants

Solutions: