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FINRA Series7 Exam Syllabus Topics:

FINRA General Securities Representative Examination (GS) Sample Questions:

1. Which of the following is not a practice of a mutual fund custodian?

A) maintaining sales records for the fund's underwriter
B) lending the fund's securities to banks or broker/dealers
C) changing shareholder registrations on the fund's records
D) disbursing dividends and capital gains to the fund's shareholders

2. Under which of the following was SIPC established?

A) Securities Investor Protection Act of 1970
B) Securities Exchange Act of 1934
C) Securities Exchange Reform Act of 1975
D) Securities Act of 1933

3. Who is responsible for verifying that limited partners meet net worth and income requirements?

A) the registered representative
B) the limited partners
C) the sponsor
D) the general partner

4. When opening a brokerage account for a customer, a registered representative must determine the
customer's:

A) all of the above
B) financial resources
C) financial requirements
D) investment objectives

5. Bonds are most often quoted as a percentage of:

A) book value
B) market value
C) whatever value the broker says
D) face value

Solutions: