Series-7 無料問題集「FINRA General Securities Representative Qualification Examination (GS)」

（A）the general partner's personal assets

（B）the personal assets of the limited partners

（C）the partnership's income

（D）the general partner's profits

（A）they have a fixed maturity date

（B）they have a fixed rate of return

（C）they are readily marketable

（D）they are not secured by collateral

（A）rate of return

（B）yield to call

（C）nominal yield

（D）face value

（A）it limits liability to the amount at risk

（B）it prevents carry forward of disallowed interest deductions

（C）it limits deductions to the amount at risk

（D）deductions for interest may not exceed investment income

（A）sales charge

（B）premium

（C）discount

（D）commission

（A）net income from dividends and interest paid on securities in the fund's portfolio

（B）net gains on sales of portfolio securities

（C）net profits from the investment company operation

（D）dividends, interest, and net gains on sales of securities

（A）when the underlying stock is extremely volatile

（B）when the underlying stock price is rising

（C）when there is a large open interest in that class of option

（D）in the month prior to its expiration

（A）joint account of Bubba and his wife

（B）commodities account in Bubba's name only

（C）joint account of Bubba and his son, Bubba, Jr.

（D）individual account in Bubba's name only

（A）10 business days

（B）90 calendar days

（C）13 months

（D）5 business days

（A）5 years

（B）90 days

（C）one year

（D）2 years

（A）excise tax

（B）gift tax

（C）general income tax

（D）gasoline tax

（A）a share in the profits from earnings

（B）deductions for losses in excess of income earned

（C）tax credits

（D）deduction of business expenses from income

（A）after approval by a majority vote of the shareholders

（B）after it obtains a new charter from the state secretary

（C）after providing notice that is recorded in the Federal Register

（D）after SEC approval

（A）stopping stock

（B）floor protection

（C）a special deal

（D）a stop order

（A）the bid price is higher than the offer price

（B）they are quoted on yield-to-maturity percentages

（C）they mature one to three years from the date of issuance

（D）their payments are exempt from state income tax

（A）the management group

（B）the custodian bank

（C）the underwriter

（D）the plan company

（A）fill or kill provision

（B）contra-market clause

（C）market-out clause

（D）blue sky provision