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The FINRA Series-7 (General Securities Representative Qualification Examination) exam is a securities licensing exam that is administered by the Financial Industry Regulatory Authority (FINRA). This exam is designed to test the knowledge and skills of individuals who want to become registered representatives in the securities industry. The Series-7 exam covers a wide range of topics related to the securities industry, including stocks, bonds, mutual funds, options, and other investment products. Passing the Series-7 exam is a prerequisite for individuals who want to work as a registered representative for a broker-dealer firm in the United States.

Passing the Series-7 exam is a significant achievement that can open up many opportunities in the securities industry. Candidates who pass the exam are eligible to work as registered representatives for broker-dealers, which are firms that buy and sell securities on behalf of clients. Registered representatives can also work for investment advisory firms, which provide investment advice to clients. Additionally, passing the Series-7 exam is often a requirement for other securities licenses, such as the Series-63 and Series-66 exams.

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FINRA General Securities Representative Qualification Examination (GS) Sample Questions (Q183-Q188):

NEW QUESTION # 183
The net investment income of an open-end investment company represents:

  • A. net profits from the investment company operation
  • B. dividends, interest, and net gains on sales of securities
  • C. net gains on sales of portfolio securities
  • D. net income from dividends and interest paid on securities in the fund's portfolio

Answer: D

Explanation:
Explanation/Reference:
Explanation: net income from dividends and interest paid on securities in the fund's portfolio. Net investment income is dividends and interest but not capital gains.


NEW QUESTION # 184
An advertisement for a CMO security by a member of FINRA should disclose which of the following?

  • A. the exact yield investor will earn
  • B. that the yield may be greater than the stated percentage but never less
  • C. that the stated yield is an estimate that may vary passed upon prepayments and market factors
  • D. the yield based upon the prevailing discount rate

Answer: C

Explanation:
Explanation/Reference:
Explanation: that the stated yield is an estimate that may vary passed upon prepayments and market factors. The only guarantee is that nothing is guaranteed, especially the yield.


NEW QUESTION # 185
A mutual fund letter of intent may permissibly be predated for a period of time up to:

  • A. 5 business days
  • B. 90 calendar days
  • C. 13 months
  • D. 10 business days

Answer: B

Explanation:
90 calendar days. An investor has 90 days from the date of original purchase to sign a letter of intent. The maximum duration for the letter is 13 months from the initial purchase.


NEW QUESTION # 186
Bubba has a short margin account with equity of $15,000 and a credit balance of $28,000.
What is th e current NYSE minimum equity maintenance requirement on Bubba's account?

  • A. $3,250
  • B. $3,900
  • C. $3,750
  • D. $4,500

Answer: B

Explanation:
$3,900. The requirement for short accounts is 30% of the current market value. The market value is $13,000 ($28,000 - $15,000). Multiplying by 30% equals $3,900.


NEW QUESTION # 187
Bubba owns stock with cumulative voting rights. There are five vacancies on a board and he owns 100 shares of stock. Bubba is entitled to cast the following votes:

  • A. a total of 500 votes
  • B. a total of 100 votes
  • C. you are not allowed to vote
  • D. a total of 100 votes per

Answer: A

Explanation:
Explanation/Reference:
Explanation: 500 votes. Under cumulative voting, the number of directors is multiplied by the number of shares owned. The votes may be cast all for a single director or divided in any manner among the directors.


NEW QUESTION # 188
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