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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: Oct 19, 2024
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The market theory stating that the small investor is usually wrong is called the:
A. advance-decline theory
B. odd-lot theory
C. Dow theory
D. short interest theory
In a firm commitment offering, any shares that are not sold are:
A. returned to the issuing corporation
B. listed in the over-the-counter market
C. transferred to treasury stock
D. owned by the members of the syndicate
Call loans made by banks to broker/dealers are generally for the purpose of which of the following?
A. expansion of office facilities
B. meeting operating expenses
C. carrying margin accounts
D. financing securities held in inventory
Caden
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