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試験番号：Series7試験科目：「General Securities Representative Examination (GS)」
一年間無料で問題集をアップデートするサービスを提供いたします
最近更新時間：2018-06-26
問題と解答：全400問 Series7 トレーリングサンプル
NEW QUESTION: 1
When an index option is exercised, settlement is made by:
A. delivery of a futures contract
B. any of the above
C. delivery of the underlying securities
D. cash
Answer: D
Series7 ソフトウエア Series7 テキスト
Explanation: cash. Index options are settled by payment of cash.
NEW QUESTION: 2
A corporation makes a rights offering to raise $10 million of new capital by issuing one million
shares of
common stock. If it already has six million shares outstanding at the time of the offering. What is the
subscription price per share?
A. $10
B. $7
C. $4
D. $6
Answer: A
Explanation: $10. There are one million shares divided into the $10 million of new capital.
NEW QUESTION: 3
Service charges by a FINRA dealer for transfer and safekeeping of customer securities held in
street
name:
A. may be levied only if the security has a value of less than $5,000
B. may be levied only if the charge if fair, reasonable, and non-discriminatory
C. may not be levied unless there is no trading in the account for more than six months
D. may not be levied under FINRA Conduct Rules
Answer: B
Series7 一番 Series7 資料
Explanation: may be levied only if the charge if fair, reasonable, and non-discriminatory. This is the
standard in the FINRA rules.
NEW QUESTION: 4
In the offering of new securities, members of the syndicate are permitted to sell to other
dealers less the
reallowance. The amount of the reallowance is determined by:
A. the syndicate manager
B. the issuing corporation
C. the FINRA
D. the SEC
Answer: A
Series7 保証
Explanation: the syndicate manager. The reallowance as well as the selling concession given to selling
group members are determined by the managing underwriters.
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