FINRA General Securities Representative Examination (GS) - Series7무료 덤프문제 풀어보기
Regulation T is set at 50%. Bubba's account contains long positions in the following securities with the
prices listed
1 00 ABC $30
2 00 XYZ $70
2 00 QBB $40
2 00 KKK $25
Total market value = $30,000
Debit balance in the account = $12,000
Net equity balance of the account = $18,000
What is Bubba's excess equity in the account?
prices listed
1 00 ABC $30
2 00 XYZ $70
2 00 QBB $40
2 00 KKK $25
Total market value = $30,000
Debit balance in the account = $12,000
Net equity balance of the account = $18,000
What is Bubba's excess equity in the account?
정답: D
설명: (Fast2test 회원만 볼 수 있음)
A call option is in the money when the market value of the underlying stock is:
정답: C
설명: (Fast2test 회원만 볼 수 있음)
Bubba buys one XYZ November 65 call at $3 and one XYZ November 65 put at $2. XYZ is trading at $72.
The put expires and the call is closed at its intrinsic value. What is the resulting profit?
The put expires and the call is closed at its intrinsic value. What is the resulting profit?
정답: B
설명: (Fast2test 회원만 볼 수 있음)
A public offering by an investment banker in which any securities not sold are returned to the issuer is
known as:
known as:
정답: A
설명: (Fast2test 회원만 볼 수 있음)
Under what circumstances may a municipal securities dealer guarantee a customer against loss in market
value of bonds?
value of bonds?
정답: B
설명: (Fast2test 회원만 볼 수 있음)
The public offering price of the securities of an open-end management investment company is:
정답: B
설명: (Fast2test 회원만 볼 수 있음)
Bubba buys a bond issued at par with a 5% coupon that is convertible into common stock at $40. The
bond increases in value by 20 points. What is the conversion parity of the stock?
bond increases in value by 20 points. What is the conversion parity of the stock?
정답: D
설명: (Fast2test 회원만 볼 수 있음)
Bubba sells 100 shares of XYZ short at $58 and buys 1 XYZ Mar 60 Call at $3. What is the customer's
maximum loss?
maximum loss?
정답: A
설명: (Fast2test 회원만 볼 수 있음)
A company may pay a declared dividend in which of the following ways:
정답: B
설명: (Fast2test 회원만 볼 수 있음)
A revenue bond is issued by a state agency. The state legislature is granted authority to apportion money
to support the debt services if necessary, but is not legally obligated to do so. What type of bond is this?
to support the debt services if necessary, but is not legally obligated to do so. What type of bond is this?
정답: A
설명: (Fast2test 회원만 볼 수 있음)
In stabilizing a new issue, the manager may make a "syndicate penalty bid". This means that:
정답: D
설명: (Fast2test 회원만 볼 수 있음)
What does the bond buyer placement ratio represent?
정답: D
설명: (Fast2test 회원만 볼 수 있음)
Which are the primary considerations in evaluating the worth of a limited partnership?
정답: A
설명: (Fast2test 회원만 볼 수 있음)