Finra itexams general Securities Representative Series-7 Dumps Pdf by Nansi q200 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:	nansi

Question 88

Bubba is eligible for a Roth IRA. He may convert his SEP-IRA to a Roth IRA:

Options:

without restriction

only after the two-year holding period

after a 90-day holding period

not ever

Discussion

Question 89

In a firm commitment offering, any shares that are not sold are:

Options:

returned to the issuing corporation

listed in the over-the-counter market

transferred to treasury stock

owned by the members of the syndicate

Discussion

Question 90

Bubba has a short margin account with a short market value of $22,000, a credit balance of $42,000, and SMA of $500.

What is the equity in Bubba’s account?

Options:

$500

$20,000

$20,500

$37,000

Discussion

Question 91

The FINRA Conduct Rules permit a transaction made “seller’s option” to be delivered earlier than the expiration of the contract if:

Options:

the buyer is given one-day notice in writing

the seller is located in New York City

the client requests it

the buyer is a non-clearing member

Discussion

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