최신 FINRA Certification Series7 무료샘플문제:
1. Bubba buys an OTC stock from a firm that is a market-maker in the stock. What may be said about the
price he pays?
A) it includes a special fee
B) it does not include a markup
C) it includes a markup
D) it includes a commission and a markup
2. Which of the following does not issue debt securities that trade in the open market?
A) Fannie Mae
B) Federal Land Banks
C) Federal Reserve Banks
D) Freddie Mac
3. Bubba owns stock with cumulative voting rights. There are five vacancies on a board and he owns 100
shares of stock. Bubba is entitled to cast the following votes:
A) a totalof 100 votes
B) you are not allowed to vote
C) a total of 500 votes
D) a totalof 100 votes per
4. For an FINRA member firm to exercise discretionary power in any customer account requires written
authorization by that customer except when:
A) both B and C
B) the customer has given an oral approval after the transaction
C) only time and price of execution are involved
D) the customer is a spouse of the registered representative
5. Bubba owns a subordinated debenture in a company that is liquidating. When will he get paid?
A) after the shareholders of preferred stock
B) after the company pays its outstanding bills, but before paying bank loans
C) after the bills are paid and the bank is paid, but before the preferred shareholders
D) before the holders of secured debt
질문과 대답:
| 질문 # 1 정답: C | 질문 # 2 정답: C | 질문 # 3 정답: C | 질문 # 4 정답: C | 질문 # 5 정답: C |
1101 개 고객 리뷰
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