Free FINRA Series-7 Exam Questions
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FINRA Series-7 Exam Questions
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Provided By: FINRA
- Exam: General Securities Representative
- Certification: General Securities Representative
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Total Questions: 405
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Updated On: Mar 26, 2025
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Rated: 4.9 |
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Online Users: 810
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Question 1
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A NYSE floor member executing an order for a public customer asks the specialist in the
stock to guarantee a price while giving the customer an opportunity to obtain a better price.
This procedure is known as:
Answer: B
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A NYSE floor member executing an order for a public customer asks the specialist in the
stock to guarantee a price while giving the customer an opportunity to obtain a better price.
This procedure is known as:
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Question 2
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Bubba holds 200 shares of common stock in a utility company and receives rights tosubscribe to an additional 100 shares at $20. The utility company is raising $40 million ofnew capital.How many rights does Bubba receive?
Answer: D
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Question 3
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A financial institution requesting a quote on a block of 100 bonds from a dealer ingovernment securities receives a quote of 98.02 bid, 98.06 asked.What is the dollar amount the institution will receive if the financial institution sells thesebonds to the dealer?’’
Answer: A
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Question 4
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Which of the following municipal securities carries the full faith and credit of the US
government for payment of interest and principal if the issuer’s funds are insufficient?
Answer: D
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Which of the following municipal securities carries the full faith and credit of the US
government for payment of interest and principal if the issuer’s funds are insufficient?
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Question 5
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The FINRA markup policy applies to:
Answer: A
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The FINRA markup policy applies to: