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FINRA Series7 Exam Syllabus Topics:

FINRA General Securities Representative Examination (GS) Sample Questions:

1. According to FINRA Conduct Rules, a party judged guilty of a rule infraction by the District Business
Conduct Committee may then appeal to:

A) the SEC
B) the public court system
C) the FINRA Board of Governors
D) the FINRA Board of Arbitration

2. In a best efforts distribution of a new non-exempt issue, a broker/dealer:

A) is not required to use an offering circular or prospectus
B) acts as an agent for the issuer
C) agrees to buy the issue at a specified price
D) may allow a selling concession to a bank or trust company

3. For what time period does a Form 144 remain in effect?

A) one year
B) 30 days
C) 90 days
D) 60 days

4. Which of the following is not an attribute of US treasury bills?

A) always sells at a discount to face value
B) is most often issued with three-month, six-month, and one-year maturities
C) an unusually high degree of liquidity
D) interest is exempt from federal income taxes

5. In which of the following situations may exemption from compliance with Regulation T be granted?

A) a broker/dealer who does not offer margin accounts
B) a broker/dealer transacting less than 10% of its business through a member of a securities exchange
C) a broker/dealer conducts business only in registered securities
D) none of the above

Solutions: