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FINRA Series7 Exam Syllabus Topics:

FINRA General Securities Representative Examination (GS) Sample Questions:

1. In June, Bubba bought 100 shares of XYZ at $35. In November, he bought a listed put in XYZ with a $35
strike price and a July expiration for a premium of $600. If Bubba sells the stock at $45 in July, what is his
resulting tax liability for that transaction?

A) a $400 capital loss
B) no liability established until the offsetting option position is closed
C) a $400 gain
D) a $1,000 gain

2. Which securities do not receive dividends?

A) warrants
B) ADRs
C) common stock
D) preferred stock

3. Provisions of SEC Rule 145 normally apply to an exchange of one security for another as a result of:

A) a "no-sale" ruling issued by the SEC
B) a merger
C) a stock split
D) a change in par value

4. Big Easy Investment Banking, Inc., is participating in an Eastern account underwriting of $10 million of
municipal bonds by agreeing to underwrite 10% of the issue. One week later, $4 million remains unsold
but Big Easy has distributed $1.5 million of bonds. What is the liability of Big Easy remaining in the
account?

A) $400,000
B) $1,000,000
C) $600,000
D) $0

5. The maximum contribution an employer may make to a SEP-IRA is:

A) $4,000
B) 25% of employee compensation
C) $5,000
D) 100% of employee compensation

Solutions: