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Vendor: FINRA
Exam Code: FINRA-SERIES-7
Exam Name: FINRA General Securities Representative Examination (GS)
Certification: FINRA Certifications
Total Questions: 400 Q&A
Updated on:
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Provisions of SEC Rule 145 normally apply to an exchange of one security for another as a result of:
A. a stock split
B. a change in par value
C. a merger
D. a "no-sale" ruling issued by the SEC
A registered representative just accepted Bubba's instructions to buy a specific stock in the over-the-counter market with the credit balance in his account. Which of these orders for that issue can be entered and executed on a single ticket in a typical broker/dealer organization?
A. buy 150 XYZ at market
B. buy 150 XYZ at 17.50 or better
C. buy $2,500 worth of a mutual fund XYZ Corporation
D. all of these
Service charges by a FINRA dealer for transfer and safekeeping of customer securities held in street name:
A. may not be levied under FINRA Conduct Rules
B. may not be levied unless there is no trading in the account for more than six months
C. may be levied only if the security has a value of less than $5,000
D. may be levied only if the charge if fair, reasonable, and non-discriminatory
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