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FINRA General Securities Representative Qualification Examination (GS) Sample Questions (Q60-Q65):

NEW QUESTION # 60
The expiration date of a listed option is:

  • A. the third Friday of the expiration month
  • B. the last day of the expiration month
  • C. the third Saturday of the expiration month
  • D. the Saturday following the third Friday of the expiration month

Answer: D

Explanation:
Explanation/Reference:
Explanation: the Saturday following the third Friday of the expiration month. It is NOT the third Saturday.
The final day to trade options is the third Friday of the expiration month. The options expire the next da y.


NEW QUESTION # 61
Which of the following is available both to owners of stock and owners of limited partnership participations?

  • A. a share in the profits from earnings
  • B. deductions for losses in excess of income earned
  • C. tax credits
  • D. deduction of business expenses from income

Answer: A

Explanation:
a share in the profits from earnings. Both shareholders and limited partners share in the profits from earnings.


NEW QUESTION # 62
Which of the following organizations usually has a prominent role in guiding investment policies of mutual funds?

  • A. the underwriter
  • B. the plan company
  • C. the custodian bank
  • D. the management group

Answer: D

Explanation:
Explanation/Reference:
Explanation: the management group. The management group is actually comprised of the management company (including the underwriter) and the investment advisor.


NEW QUESTION # 63
Upon opening a new account for a customer, a registered representative should:

  • A. all of the above
  • B. investigate the customer's credit rating
  • C. inquire about age
  • D. determine what is suitable for the customer based upon his financial background

Answer: A

Explanation:
all of the above. These are required I Rule 405 of the NYSE and under suitability requirements in the Rules of Fair Practice of the FINRA.


NEW QUESTION # 64
In June, Bubba bought 100 shares of XYZ at $35. In November, he bought a listed put in XYZ with a $35 strike price and a July expiration for a premium of $600.
If Bubba sells the stock at $45 in July, what is his resulting tax liability for that transaction?

  • A. a $1,000 gain
  • B. no liability established until the offsetting option position is closed
  • C. a $400 capital loss
  • D. a $400 gain

Answer: A

Explanation:
a $1,000 gain. There is a $1,000 gain on the stock. The option is a separate capital asset.


NEW QUESTION # 65
......

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