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FINRA Series7 Exam Syllabus Topics:

FINRA General Securities Representative Examination (GS) Sample Questions:

1. A treasury obligation having no fixed rate of interest with a thirty day maturity due April 22 is most likely a:

A) Series H bond
B) Series EE bond
C) treasury note
D) tax anticipation bill

2. Bubba Securities, Inc. offers 3,000,000 shares of Top Notch Manufacturing Corporation common stock at
$ 27 per share. The next day an advertisement appears in the Wall Street Journal announcing the offering
and listing the names of some of the underwriting firms. This ad is commonly referred to as a:

A) public offering
B) tombstone ad
C) sales directive
D) syndicate announcement

3. The expiration date of a listed option is:

A) the last day of the expiration month
B) the third Saturday of the expiration month
C) the third Friday of the expiration month
D) the Saturday following the third Friday of the expiration month

4. The general purpose of the Securities Act of 1933 is to:

A) regulate the activities of investment advisers
B) regulate the sale of securities on national exchanges
C) provide for disclosure of information about new securities offerings
D) provide for disclosure of the financial condition of underwriters

5. Which of the following is not an intangible drilling cost?

A) supplies and fuel
B) repairs
C) machinery and pipe
D) salaries

Solutions: