FINRA Series7 : General Securities Representative Examination (GS)

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FINRA General Securities Representative Examination (GS) Sample Questions:

1. Which of the following is true about option prices?

A) premiums on options of higher-priced stocks are usually greater than on lower-priced stocks
B) premiums on options of well-known companies are usually larger than on lesser-known companies
C) premiums on options of volatile stocks are usually larger than on less volatile stocks
D) premiums on options for listed stocks are usually greater than on unlisted stocks

2. A CMO is issued that has three tranches. One has an average life of 2 years. A second has an average
life of 10 years. The third has an average life of 30 years. Initially, interest payments are distributed in this
order:

A) first to the holders of the 30-year tranche
B) equally to all CMO holders of any tranche
C) first to the holders of the 10-year tranche
D) first to the holders of the 2-year tranche

3. In terms of depletion, percentage depletion is better than cost depletion because it:

A) permits recovery of more than the original cost
B) is limited to production
C) is not subject to recapture
D) is more widely available

4. When a member firm buys or sells securities directly as principal with a public customer, it is acting as:

A) a dealer
B) a broker
C) none of the above
D) an agent

5. Under what circumstances may a municipal securities dealer guarantee a customer against loss in market
value of bonds?

A) only if the agreement is in writing
B) under no circumstances
C) only if the bonds are rated AAA or Aaa
D) only if the bonds are insured

Solutions: