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FINRA Series-7 Exam Dumps - Actual Questions Answers

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Series-7 Questions and Answers

Question # 1

A management group may serve an investment company as its:

A.

underwriter

B.

custodian

C.

investment advisor

D.

both A and C

Question # 2

A registered representative privately assures a customer that a certain stock will double within 18 months. During this period the stock the stock performs as predicted.

Which of the following statements is true?

A.

the commentary was permissible because the stock advanced as the registered representative forecast

B.

this is a violation because the SEC requires all information about stock prices to be publicly announced

C.

this statement constituted a form of fraud prohibited under the Securities Exchange Act of 1934

D.

the comment is permissible only if the representative had been registered with the SEC under the Investment Advisors Act of 1940

Question # 3

Regulation T is set at 50%. Bubba’s account contains long positions in the following securities with the prices listed:

100 ABC $30

200 XYZ $70

200 QBB $40

200 KKK $25

Total market value = $30,000

Debit balance in the account = $12,000

Net equity balance of the account = $18,000

What is Bubba’s excess equity in the account?

A.

$3,000

B.

$18,000

C.

$12,000

D.

$0

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