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The FINRA Series-7 (General Securities Representative Qualification Examination) Certification Exam is a rigorous exam that assesses the knowledge and skills of individuals who wish to become licensed securities representatives. The exam is administered by the Financial Industry Regulatory Authority (FINRA), which is a non-profit organization that regulates firms and individuals that sell securities in the United States. Passing the Series-7 exam is a requirement for anyone who wants to work as a securities representative in the U.S.
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How much FINRA Series 7 Certification Exam cost
The Series 7 exam is officially known as the general exam of securities representatives. It is a highly regulated exam that must be taken in an official test center. The cost to take the test is at least $ 265, with some areas in charge a little more.
Achieving certification through the Series-7 exam can be a significant milestone in a candidate’s career. It demonstrates to potential employers and clients that the individual has a solid understanding of the securities industry and is committed to upholding the highest standards of professionalism and ethics.
FINRA General Securities Representative Qualification Examination (GS) Sample Questions (Q282-Q287):
NEW QUESTION # 282
Under what conditions may an FINRA member firm sell an IPO to an employee of another broker/dealer?
- A. under no circumstances
- B. if the member firm notifies the other broker/dealer of the transaction
- C. if the amount of the purchase is small and the transaction accords with the employee's normal investment practice
- D. if the employing broker/dealer guarantees that resale of the securities acquired by its employee will be restricted for two years
Answer: A
Explanation:
under no circumstances. An FINRA member firm may not, under any circumstances, allocate shares to itself, any of its employees, or to any employee of a firm that underwrites securities.
NEW QUESTION # 283
The FINRA markup policy applies to:
- A. principal transactions in municipal bonds
- B. mutual fund sales
- C. agency sales OTC
- D. new issues of corporate securities
Answer: C
Explanation:
Explanation/Reference:
Explanation: agency sales OTC. Markup policy applies to basically all securities other than government and municipal offerings expect where the security is offered under a current prospectus. Choices C and D are offered under a prospectus. Choice B involves municipal securities. Therefore, choice A is the only correct answer.
NEW QUESTION # 284
What rate of return takes into consideration appreciation or depreciation in market value relating to the par value of a debt security?
- A. yield to maturity
- B. nominal yield
- C. current yield
- D. basis yield
Answer: A
Explanation:
yield to maturity. The premium or discount in the security price relative to par value is considered when computing the yield to maturity.
NEW QUESTION # 285
Which of the following organizations usually has a prominent role in guiding investment policies of mutual funds?
- A. the underwriter
- B. the custodian bank
- C. the management group
- D. the plan company
Answer: C
Explanation:
the management group. The management group is actually comprised of the management company (including the underwriter) and the investment advisor.
NEW QUESTION # 286
The term "mutual fund" is popularly used for which of the following?
- A. closed-end investment companies
- B. pension funds
- C. open-end investment companies
- D. all investment companies
Answer: C
Explanation:
open-end investment companies. The term is generally applied to open-end investment companies.
NEW QUESTION # 287
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