Series7問題集、FINRA実際の試験問題

質問 1

Which of the following items is not deducted to determine a corporation's net income?

A. dividends

B. all of the above

C. interest

D. taxes

正解: A

解説: (PassTest メンバーにのみ表示されます)

質問 2

Big Guns Municipal Bond Dealer Corporation buys 100M of 7% 20-year GO bonds at par. The bonds are
marked up and immediately re-offered for sale. Which of the following re-offering prices would probably
be deemed excessive?

A. 5.00% net

B. 6.8% net

C. 6.9% less 0.5

D. $100.75

正解: A

解説: (PassTest メンバーにのみ表示されます)

質問 3

Which of the following statements is not true about exchange traded options?

A. they are adjusted for cash dividends

B. they are adjusted for stock dividends

C. they are adjusted for reverse splits

D. they are adjusted for stock splits

正解: A

解説: (PassTest メンバーにのみ表示されます)

質問 4

Hypothecation usually refers to which of the following?

A. none of the above

B. forecasting the market based upon past performance

C. pledging securities as collateral

D. determining a reasonable offering price for a new issue

正解: C

解説: (PassTest メンバーにのみ表示されます)

質問 5

Which of the following options positions is characteristic of a short straddle?

A. long one call and short one put

B. long one put and short one call

C. long one put and short one call

D. long one call and long one put

正解: C

解説: (PassTest メンバーにのみ表示されます)

質問 6

In the distribution of a new issue underwriters or selling group member are prohibited from:

A. all of the above

B. withholding blocks of a new issue in the member's account

C. selling to the public at the so-called public offering price

D. selling to another broker or dealer who needs to fill an accommodation order

正解: B

解説: (PassTest メンバーにのみ表示されます)

質問 7

A financial institution requesting a quote on a block of 100 bonds from a dealer in government securities
receives a quote of 98.02 bid, 98.06 asked. What is the dollar amount the institution will receive if the
financial institution sells these bonds to the dealer?''

A. $98,062.50

B. $98,750.00

C. $98,250.00

D. $98,187.50

正解: A

解説: (PassTest メンバーにのみ表示されます)

質問 8

Prospective bidders for a municipal bond being issued should consult what document for relevant
procedures?

A. the offering circular

B. the Eastern account agreement

C. the official notice of sale

D. the SEC Registration Statement

正解: C

解説: (PassTest メンバーにのみ表示されます)

質問 9

Which of the following is a benefit of Section 8 low-income housing partnerships?

A. potential for capital appreciation

B. low risk

C. large deductions

D. high, reliable income

正解: B

解説: (PassTest メンバーにのみ表示されます)

FINRA General Securities Representative Examination (GS) - Series7 模擬練習