Try and practice the latest FINRA : Series7 real questions & answers
Last Updated: Oct 03, 2026
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FINRA Series7 Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Topic 1: Job Functions Overview | - Function 1: Seeks Business for the Broker-Dealer
|
FINRA General Securities Representative Examination (GS) Sample Questions:
A short sale can be made in which of the following types of accounts?
- A. margin account
- B. a custodian account
- C. special memorandum account
- D. special cash account
Correct Answer: A 🗳️
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Bubba holds 200 shares of common stock in a utility company and receives rights to subscribe to an
additional 100 shares at $20. The utility company is raising $40 million of new capital. How many shares
of common stock for the utility company were outstanding prior to the rights offering?
- A. 4,000,000
- B. 2,000,000
- C. 40,000,000
- D. 1,000,000
Correct Answer: A 🗳️
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A bank or trust company that is acting as custodian for a mutual fund does which of the following?
- A. provides investment advice to the fund's managers
- B. guarantees investor losses on investments
- C. redeem and issues fund shares
- D. physically protects the fund's assets
Correct Answer: D 🗳️
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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. 90 days
- B. 60 days
- C. one year
- D. 30 days
Correct Answer: B 🗳️
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A dealer buys 100 shares of XYZ common, which is an actively traded stock, at 23.50. Three days later,
when XYZ common is quoted at 19.50 - 19.75, he sells the 100 shares to a customer. The basis for the
dealer's markup is:
- A. 23 1/2
- B. 19 7/8
- C. 5% above cost
- D. 10 5/8
Correct Answer: B 🗳️
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