FINRA General Securities Representative Examination (GS) 認定 Series7 試験問題:
1. Which of the following is not true about mutual funds and variable annuities?
A) the payout of each depends on the investment results of the securities owned in the portfolio
B) the registered representative must have FINRA registration to solicit either one
C) each is regulated under the Investment Company Act of 1940
D) the holder of each must pay income taxes on the dividends received each year
2. Under Rule 415 a corporation may file a single registration statement with the SEC covering its
anticipated financing need for the next:
A) three years
B) two years
C) five years
D) one year
3. A four-letter symbol assigned to an issue is characteristic of an equity security that is:
A) admitted to unlisted trading privileges on a regional stock exchange
B) authorized for inclusion in the NASDAQsystem
C) listed on the NYSE
D) trading in less than 100-share units on the American Stock Exchange
4. Bubba buys an OTC stock from a firm that is a market-maker in the stock. What may be said about the
price he pays?
A) it includes a commission and a markup
B) it includes a special fee
C) it does not include a markup
D) it includes a markup
5. 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) equally to all CMO holders of any tranche
B) first to the holders of the 30-year tranche
C) first to the holders of the 10-year tranche
D) first to the holders of the 2-year tranche
質問と回答：
| 質問 # 1 正解： D | 質問 # 2 正解： B | 質問 # 3 正解： B | 質問 # 4 正解： D | 質問 # 5 正解： A |
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