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FINRA Series7 Exam Syllabus Topics:

FINRA General Securities Representative Examination (GS) Sample Questions:

1. Bubba sells 100 shares of XYZ short at $58 and buys 1 XYZ Mar 60 Call at $3. What is the customer's
maximum loss?

A) $100
B) unlimited
C) $500
D) $5,500

2. When opening a brokerage account for a customer, a registered representative must determine the
customer's:

A) all of the above
B) investment objectives
C) financial requirements
D) financial resources

3. The accounting statement that represents a company's financial position on a particular date is the:

A) income statement
B) balance sheet
C) Profit and Loss
D) cash flow statement

4. On which of the following is depreciation permitted?

A) residential property not used for business
B) rental property whose value is declining
C) equipment subject to recapture
D) property whose maintenance exceeds the investment credit

5. The Securities Act of 1933 provides for:

A) all of the above
B) regulation of new issues of securities
C) extension of credit in the securities industry
D) establishment of the Securities and Exchange Commission

Solutions: