Finra passguarantee general Securities Representative Series-7 Updated Exam by Zidane q200 vce pdf

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FINRA Series-7 Exam Overview :

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:	zidane

Question 116

An ERISA benefits plan qualified under Section 401(a) of the Internal Revenue Code may:

Options:

purchase any IPO security provided the plan is not sponsored solely by a broker/dealer

apply for an exemption

only purchase securities rated “A” or better

purchase only securities issued by the state or federal government

Discussion

Question 117

Which of the following does not appear in a municipal syndicate letter to underwriters?

Options:

the specific bid and offering terms of the issue

the amount of each member’s participation

the extent of the manager’s authority in directing the offering

the duration of the syndicate account

Discussion

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Question 118

Bubba is buying a Federal Home Loan Bank issue that is offered at 95.22.

How much will he pay to purchase one bond?

Options:

$95.22

$951.63

$952.20

$956.88

Discussion

Question 119

Bubba has a cash account and fails to make full and prompt payment for a purchase. The broker liquidated the transaction. Two weeks later, Bubba places another buy order for 100 shares of XYZ.

What does the broker do?

Options:

refuses the order

handles the order after obtaining a promise from Bubba to effect prompt settlement

requires a 25% down payment before executing the order

executes the order at its own risk