Free FINRA Series-7 Exam Questions
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FINRA Series-7 Exam Questions
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Provided By: FINRA
- Exam: General Securities Representative
- Certification: General Securities Representative
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Total Questions: 405
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Updated On: Jun 05, 2025
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Rated: 4.9 |
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Online Users: 810
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Question 1
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Bubba holds 200 shares of common stock in a utility company and receives rights tosubscribe to an additional 100 shares at $20. The utility company is raising $40 million ofnew capital.How many rights does Bubba receive?
Answer: D
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Question 2
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A dealer buys 100 shares of XYZ common, which is an actively traded stock, at 23.50.Three days later, when XYZ common is quoted at 19.50 - 19.75, he sells the 100 shares to a customer. The basis for the dealer’s markup is:
Answer: B
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A dealer buys 100 shares of XYZ common, which is an actively traded stock, at 23.50.
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Question 3
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Hypothecation usually refers to which of the following?
Answer: B
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Hypothecation usually refers to which of the following?
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Question 4
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The FINRA markup policy applies to:
Answer: A
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The FINRA markup policy applies to:
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Question 5
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An investment company incapable of issuing a long-term debt instrument is:
Answer: D
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An investment company incapable of issuing a long-term debt instrument is: