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最新的 FINRA Certification Series7 免費考試真題:
1. With respect to the public offering of securities by an underwriting syndicate, which of the following is
true?
A) the reallowance is greater than the selling concession
B) the reallowance is greater than the underwriting spread
C) the underwriting spread is greater than the selling concession
D) the selling concession is greater than the underwriting spread
2. A mutual fund letter of intent may permissibly be predated for a period of time up to:
A) 5 business days
B) 10 business days
C) 13 months
D) 90 calendar days
3. Bubba owns 100 shares of XYZ at $58. He needs to limit his loss to 5 points or less and will accept a
longer time for the order to be executed, to make sure the loss does not exceed 5 points. Which of the
following orders would be the best recommendation?
A) sell limit order
B) buy stop order
C) sell stop order
D) sell stop-limit order
4. Which of the following may occasionally be purchased at a discount from net assets value?
A) closed-end funds
B) open-end funds
C) contractual plans
D) no-load funds
5. The price an investor pays for a listed option is called the
A) exercise price
B) spread
C) premium
D) strike price
問題與答案:
問題 #1 答案: C | 問題 #2 答案: D | 問題 #3 答案: D | 問題 #4 答案: A | 問題 #5 答案: C |
223.197.203.* -
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