최신 FINRA Certification Series7 무료샘플문제:
1. Which of the following is least relevant in evaluating the safety of a general obligation bond?
A) per capital debt
B) total GO debt as a percentage of assessed value of property
C) total GO debt as a percentage of market value of property
D) total debt service as a percentage of net operating revenue
2. Commercial paper is typically issued with a maturity date not exceeding:
A) 6 months
B) 1 year
C) 90 days
D) 270 days
3. Who is responsible for verifying that limited partners meet net worth and income requirements?
A) the sponsor
B) the registered representative
C) the general partner
D) the limited partners
4. A syndicate manager has just been informed that its bid has been accepted and all syndicate members
are duly notified. Public information on the award will be most quickly available from:
A) the Blue List
B) the Wall Street Journal
C) the daily Bond Buyer
D) Munifacts
5. Regulation T is set at 50%. Bubba's account contains long positions in the following securities with the
prices listed
1 00 ABC $30
2 00 XYZ $70
2 00 QBB $40
2 00 KKK $25
Total market value = $30,000
Debit balance in the account = $12,000
Net equity balance of the account = $18,000
Bubba wants to buy 100 shares of DUM at $30 per share and 100 shares of OUT at $120. How much how
much value of additional securities must Bubba deposit in lieu of depositing cash?
A) $3,000
B) $9,000
C) $6,000
D) $15,000
질문과 대답:
| 질문 # 1 정답: D | 질문 # 2 정답: D | 질문 # 3 정답: B | 질문 # 4 정답: D | 질문 # 5 정답: B |
1091 개 고객 리뷰
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