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FINRA Series7 Exam Syllabus Topics:

FINRA General Securities Representative Examination (GS) Sample Questions:

1. In which of the following is not a case where a deed to a condominium qualifies as a security?

A) there is a 14-day owner usage provision
B) there is management by someone other than the owner
C) the seller intends to profit
D) there is a time and space rental pool

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

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

3. In a triple net lease, which of the following is the tenant not responsible for paying?

A) maintenance
B) financing charges
C) taxes
D) insurance premiums

4. Which of the following is not provided for by Blue Sky laws?

A) interstate mail fraud in securities offerings
B) registration of securities dealers
C) registration of representatives
D) registration of securities offered in the state

5. An option that permits the holder to exercise the contract only at expiration is referred to as:

A) Asian style
B) American style
C) Nordic style
D) European style

Solutions: