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

Series7 real exams

Exam Code: Series7

Exam Name: General Securities Representative Examination (GS)

Updated: Jul 08, 2025

Q & A: 400 Questions and Answers

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FINRA General Securities Representative Examination (GS) Sample Questions:

1. A management group may serve an investment company as its:

A) underwriter
B) custodian
C) investment advisor
D) both A and C


2. Mutual fund salespersons may not represent that a product is like of safer than:

A) all of the above
B) an insurance policy
C) a fixed annuity
D) a corporate debt instrument


3. Bubba's pledge to purchase a specified dollar amount of a mutual fund within a specified period of time is called:

A) a stock power
B) an investment letter
C) a letter of intent
D) a promissory note


4. Which of the following would not normally be a function of an investment banker?

A) providing long-term capital needs to client companies
B) underwriting new issues of securities
C) assisting in large secondary offerings of securities
D) providing short-term capital needs to client companies


5. Under the terms of the 1970 Securities Investor Protection Act, what is the status of a customer whose
account assets exceed SIPC insurance coverage when his broker/dealer becomes insolvent?

A) the US Treasury is pledged to make up the deficiency
B) SIPC will issue a debenture to guarantee eventual repayment of the deficiency
C) all broker/dealers are assessed to fully satisfy the deficiency
D) the customer becomes a general creditor of the insolvent firm for the amount of deficiency


Solutions:

Question # 1
Answer: D
Question # 2
Answer: A
Question # 3
Answer: C
Question # 4
Answer: D
Question # 5
Answer: D

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