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FINRA Series7 Exam Syllabus Topics:

FINRA General Securities Representative Examination (GS) Sample Questions:

1. A tax shelter specifically designed for small employers is:

A) a subsidized deferral plan
B) an IRA
C) a SIMPLE
D) a Shelter Island plan

2. The principal underwriter of an open-end investment company is frequently called:

A) participating investment advisor
B) sponsor
C) selling group member
D) investment counselor

3. When a member firm buys or sells securities directly as principal with a public customer, it is acting as:

A) none of the above
B) an agent
C) a dealer
D) a broker

4. The minimum denomination for a US treasury bond is:

A) $1,000
B) $10,000
C) $100,000
D) $100

5. Municipal bonds would be least attractive as an investment for which of the following?

A) the executive officer of an industrial corporation in the highest income tax bracket
B) a pension fund
C) an insurance company
D) a commercial bank

Solutions: