Ace Your FINRA Series-7 Exam With Web-based Practice Tests

Ace Your FINRA Series-7 Exam With Web-based Practice Tests

Three versions of Series-7 test materials are available. You can choose the one you prefer to have a practice. Series-7 PDF version is printable, and if you prefer to practice on paper, this version will be your best choice. You can print them into hard one, and take them with you. Series-7 Soft test engine can stimulate the real exam environment, and this version will help you to relieve your nerves. Series-7 Online test engine supports all web browsers, with this version you can have a brief review of what you have finished last time.

The FINRA Series-7 exam is an essential exam for anyone looking to become a registered securities representative in the United States. This exam tests the candidate’s knowledge of securities-related topics and is administered by the Financial Industry Regulatory Authority (FINRA). Candidates must meet certain eligibility requirements and pass the exam to become registered representatives.

Passing the Series-7 certification exam is a requirement for anyone planning to work as a general securities representative in the United States. The certification is also a prerequisite for most other securities licenses and registrations. Candidates who pass the exam will be authorized to sell a wide range of securities products to clients, including stocks, bonds, mutual funds, options, and more.

The exam includes 125 multiple-choice questions and has a time limit of three and a half hours. It covers a wide range of topics related to the securities industry, including equity securities, debt securities, investment companies, options, municipal securities, and more. The Series-7 exam is known for its difficulty, and individuals must score at least 72% to pass. Those who pass the exam are eligible to become registered representatives or stockbrokers and can sell a wide range of securities products to clients. The Series-7 exam is an essential step for anyone who wants to start a career in the securities industry, and it is highly recommended for individuals who want to advance their careers in this field.

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FINRA General Securities Representative Qualification Examination (GS) Sample Questions (Q258-Q263):

The cost of maintaining an investment in a mutual fund is best reflected in the:

  • A. expense ratio
  • B. sales charge
  • C. custodial fee
  • D. net investment income

Answer: A

expense ratio. Custodial fees are negligible and the sales charge is a one-time expense. The “best” reflection of mutual fund costs is the expense ratio.

Bubba held one XYZ July 30 listed call option when XYZ split 2 for 1.
What is the resulting position, Bubba has on the Option Clearing Corporation’s record?

  • A. long two XYZ July 15 calls
  • B. long one XYZ July 30 call
  • C. long two XYZ July 30 calls
  • D. long one XYZ July 30 call and short one XYZ July 30 call

Answer: A

long two XYZ July 15 calls. Double the number of contracts and half the strike price. This is similar to XYZ shareholders doubling the number of shares they hold at the lower price.

Bubba buys a 5% municipal bond maturing in 15 years that is trading at a market price of 85 . What is the nominal yield?

  • A. cannot be determined
  • B. 5.88%
  • C. 5.1%
  • D. 5.00%

Answer: D

5.00%. The nominal yield is the coupon rate on the bond.

A company earns $6 per share and pays out 20% in common stock dividends.
What does the stock yield if it sells at $30 per share?

  • A. 2.5%
  • B. 6%
  • C. 10%
  • D. 4%

Answer: D

4%. The dividend is $1.20 per share ($6 x 20%). Divide this by the stock price to obtain the yield.

Bubba Brokerage Corporation announces through its wire system that it has a large block of stock for sale.
Customers purchasing the stock will not pay a commission. The block is crossed on the NYSE floor and is printed on the NYSE tape. This is called a:

  • A. special order
  • B. specialist block purchase
  • C. secondary distribution
  • D. exchange distribution

Answer: D

Explanation: exchange distribution. An exchange distribution is a large block sold internally by one firm that is crossed on the floor of the exchange. The trade would print on the tape identified by the letters “DIST”.


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