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FINRA Series7 Exam Syllabus Topics:

FINRA General Securities Representative Examination (GS) Sample Questions:

1. What expression is used to describe the application of income and revenues derived from the operation of
a facility financed from proceeds of a revenue bond?

A) revenue funding
B) disbursement of priorities
C) debt service
D) flow of funds

2. Which of the following does not decrease basis?

A) income from extraordinary sources
B) losses
C) depletion of real property
D) cash or property paid out

3. A mutual fund characterized by a modest sales charge and an investment in a fixed portfolio of municipal
securities is a:

A) face-amount certificate company
B) open-end or closed-end company
C) management company
D) unit investment trust company

4. The minimum denomination for a US treasury bond is:

A) $100
B) $10,000
C) $100,000
D) $1,000

5. In a securities underwriting a participating firm is said to be liable severally but not jointly. What is this type
of underwriting is called?

A) an Eastern account
B) an all or none offering
C) a best efforts offering
D) a Western account

Solutions: