Finra certsexpert general Securities Representative Series-7 Finra Study Notes by Wiktoria q80 vce pdf

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Exam Name:	Series 7 General Securities Representative Qualification Examination (GS)
Exam Code:	Series-7 Dumps
Vendor:	FINRA	Certification:	General Securities Representative
Questions:	400 Q&A's	Shared By:	wiktoria

Question 28

Which of the following forms of underwriting is least likely for an offering of municipal bonds?

Options:

negotiated

competitive bid

firm commitment

best efforts

Discussion

Question 29

Bubba’s margin account has $2,000 of SMA. If he buys $10,000 of new securities, how much additional cash must he deposit assuming a Reg T requirement of 50%?

Options:

$3,000

$4,800

$5,000

$6,000

Discussion

Question 30

Which of the following statements is pertinent to closed-end investment companies?

Options:

they are continuously issuing new shares

they are prohibited from issuing any securities other than common stock

their shares are traded at prices determined in the open market

their shares are redeemable at net asset value

Discussion

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Question 31

A NYSE floor member executing an order for a public customer asks the specialist in the stock to guarantee a price while giving the customer an opportunity to obtain a better price. This procedure is known as:

Options:

a stop order

stopping stock

floor protection

a special deal