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

（A）Anti-Trust Division of the Justice Department

（B）SEC

（C）FINRA

（D）Federal Reserve Board

（A）long one XYZ July 30 call

（B）long one XYZ July 30 call and short one XYZ July 30 call

（C）long two XYZ July 30 calls

（D）long two XYZ July 15 calls

（A）taxes

（B）income

（C）basis

（D）gains

（A）treasury bonds

（B）municipal bonds

（C）tax anticipation bonds

（D）Series EE bonds

（A）certificates of deposit

（B）commercial paper

（C）banker's acceptances

（D）treasury bills

（A）puts

（B）rights

（C）warrants

（D）calls

（A）$956.88

（B）$952.20

（C）$951.63

（D）$95.22

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

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

（C）the commentary was permissible because the stock advanced as the registered representative forecast

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

（A）$500

（B）unlimited

（C）$100

（D）$5,500

（A）whatever value the broker says

（B）book value

（C）market value

（D）face value

（A）repairs to infrastructure

（B）long-term financing

（C）federal income tax payments

（D）short-term cash needs

（A）after 2 years

（B）after 5 years

（C）the same as the employer's contributions

（D）immediately

（A）only if the bonds are insured

（B）only if the bonds are rated AAA or Aaa

（C）only if the agreement is in writing

（D）under no circumstances

（A）taxes

（B）interest

（C）dividends

（D）all of the above

（A）up to but including the settlement date

（B）up to but not including the trade date

（C）up to but not including the settlement date

（D）up to and including the trade date

（A）the customer must approve each transaction in writing before the order is entered

（B）the customer must grant written authorization to the member firm to exercise discretion in the account

（C）the account must be accepted in writing by an officer of the member firm

（D）both B and C

（A）prices reasonably related to the current market price of the security

（B）prices reasonably related to the dealer's cost

（C）a markup not to exceed 5% of the current offering price

（D）a markup based on previous activity in the customer's account

（A）not change the bid unless first notifying the other dealer

（B）change the bid only with prior approval of the other dealer

（C）change the bid

（D）not change the bid

（A）net income from dividend and interest paid on securities in the fund 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）the par value amount of municipal bonds offered in the Blue List as a percentage of the 30 -day visible supply for competitive and negotiated issues

（B）the amount of municipal bonds distributed weekly as a percentage of each week's new issue accounts of more than $1 million

（C）the amount of municipal bonds held by banks and insurance companies as a percentage of municipal bonds outstanding

（D）the amount of municipal bonds offered in the daily Blue List as a percentage of the day's new issue amounts of more than $1 million