FINRA General Securities Representative Examination (GS) : Series7 valid dumps

Series7 real exams

Exam Code: Series7

Exam Name: General Securities Representative Examination (GS)

Updated: Sep 09, 2025

Q & A: 400 Questions and Answers

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FINRA General Securities Representative Examination (GS) Sample Questions:

1. Under which of the following conditions may a registered representative of a firm that is an underwriter of
a new offering of common stock send to a client a copy of the firm's research report on that stock?

A) if it is accompanied by a red herring
B) under no circumstances
C) if his firm is not the managing underwriter
D) if he has permission of his employer


2. Under a leaseback arrangement used to finance construction of local schools, who is the issuer of the
municipal bonds?

A) a legal authority created for this purpose
B) the state in which the schools are located
C) the local school district
D) a public housing authority commissioned by the federal government


3. Which of the following price quotes is representative of a treasury bill?

A) 96 - 961/2
B) 5.78 - 5.73
C) 5.55 - 5.75
D) 98.9 - 100


4. 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


5. Smart Company, Inc., has cash it intends to use in six months for purchase of equipment. The most
prudent investment during the six-month period is:

A) common stock
B) treasury bills
C) preferred stock
D) treasury bonds


Solutions:

Question # 1
Answer: B
Question # 2
Answer: A
Question # 3
Answer: B
Question # 4
Answer: A
Question # 5
Answer: B

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