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The FINRA Series-7 (General Securities Representative Qualification Examination) Certification Exam is a comprehensive test that is designed to assess the knowledge and skills of individuals who are interested in pursuing a career in the securities industry. This exam is administered by the Financial Industry Regulatory Authority (FINRA), which is a non-profit organization that regulates the securities industry in the United States. The Series-7 exam is a prerequisite for individuals who want to become a registered representative or a stockbroker.
The Series-7 exam is a comprehensive, multiple-choice test that covers a wide range of topics, including equity securities, debt securities, investment company securities, and options. The exam also assesses the candidate’s knowledge of customer accounts, trading securities, and the regulatory environment governing the securities industry. Candidates are given 225 minutes to complete the exam, which consists of 125 questions. To pass the exam, candidates must achieve a score of at least 72%. The Series-7 exam is challenging, and candidates are required to prepare thoroughly to increase their chances of success.
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FINRA General Securities Representative Qualification Examination (GS) Sample Questions (Q346-Q351):NEW QUESTION # 346
Provisions of SEC Rule 145 normally apply to an exchange of one security for another as a result of:
Answer: C
Explanation:
Explanation/Reference:
Explanation: a merger. Rule 145 basically applies to mergers, consolidations, and acquisitions.
NEW QUESTION # 347
Bubba has a short margin account with a short market value of $22,000, a credit balance of $42,000, and SMA of $500.
What is the NYSE minimum equity maintenance for this account?
Answer: D
Explanation:
$6,600. The NYSE maintenance requirement on short margin accounts is 30%. Multiplying the short market value of $22,000 by 30% equals $6,600.
NEW QUESTION # 348
Bubba has a short margin account with a short market value of $22,000, a credit balance of $42,000, and SMA of $500.
What is the NYSE minimum equity maintenance for this account?
Answer: D
Explanation:
Explanation/Reference:
Explanation: $6,600. The NYSE maintenance requirement on short margin accounts is 30%. Multiplying the short market value of $22,000 by 30% equals $6,600.
NEW QUESTION # 349
Which of the following would not be subject to the holding period restrictions under Rule 144?
Answer: A
Explanation:
Explanation/Reference:
Explanation: restricted stock acquired via open market purchase. The two-year holding period does not apply when the security is acquired in the open market. However, if the security is owned by a control person, the other provisions of Rule 144 do apply.
NEW QUESTION # 350
A case of leverage is:
Answer: A
Explanation:
borrowing at 6% and investing the funds at 10%. Leverage is all about using money obtained at a lower cost than what can be earned deploying the funds elsewhere. It is unrelated to arbitrage.
NEW QUESTION # 351
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