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Free FINRA Series-7 Sample Questions
Bubba’s margin account has $1,000 of SMA. If he buys $20,000 of listed secu rities, how much fully paid margin stock must he deposit to respond to a Reg T requirement of 50%?
If a customer dies, the registered representative is required to:
A. cancel all open (good ‘til cancelled) orders
B. await instructions and necessary papers from the executor of the estate
C. sell out the account
D. both A and B
A tax-free rollover of assets between qualified retirement plans for the benefit of a specific individual is permitted so long as it is accomplished within:
A. 30 days
B. 60 days
C. 90 days
D. one year
Which of the following organizations usually has a prominent role in guiding investment policies of mutual funds?
A. the plan company
B. the management group
C. the custodian bank
D. the underwriter
Common stocks for which of the following industries are most likely to decline in valuewhen interest rates rise?
A. automobile manufacturers
C. stock brokers
D. public utility companies
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