FINRA General Securities Representative Examination (GS) 認定 Series7 試験問題:
1. What rate of return takes into consideration appreciation or depreciation in market value relating to the par
value of a debt security?
A) basis yield
B) current yield
C) nominal yield
D) yield to maturity
2. What is the maximum amount of gift to customers or other individuals related to the securities business
that a registered representative is permitted to give?
A) $200
B) $50
C) $100
D) $500
3. What does the bond buyer placement ratio represent?
A) the par value amount of municipal bonds offered in the Blue List as a percentage of the 30-day visible
supply for competitive and negotiated issues
B) the amount of municipal bonds distributed weekly as a percentage of each week's new issue accounts
of more than $1 million
C) the amount of municipal bonds offered in the daily Blue List as a percentage of the day's new issue
amounts of more than $1 million
D) the amount of municipal bonds held by banks and insurance companies as a percentage of municipal
bonds outstanding
4. To qualify as an intrastate offering under SEC Rule 147, which of the following is true of the issue?
A) it must consist of common stock only
B) it must be sold only to bona fide residents of one state
C) it must be approved by the SEC
D) it cannot exceed $1,500,000 in value
5. 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?
A) requires a 25% down payment before executing the order
B) handles the order after obtaining a promise from Bubba to effect prompt settlement
C) executes the order at its own risk
D) refuses the order
質問と回答：
| 質問 # 1 正解： D | 質問 # 2 正解： C | 質問 # 3 正解： B | 質問 # 4 正解： B | 質問 # 5 正解： D |
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