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Series7 - General Securities Representative Series 7 - Dump Information

Vendor : Business-Tests
Exam Code : Series7
Exam Name : General Securities Representative Series 7
Questions and Answers : 314 Q & A
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Which of the following trading sequences contains a zero-plus tick?





Answer: B


A zero-plus tick occurs when there are two or more trades at the same price, but the most recent change was a plus tick. In the following sequence:, when the

stock trades at 30, just after the 29, that is a plus tick. The next transaction is also at 30 which creates a zero-plus tick


When securities are registered with the various states under the “Blue Sky Laws,” by which of the following methods may they be registered?

  1. Notification

  2. Coordination

  3. Administration

  4. Qualification

  1. I, II, IV

  2. II, III, IV

  3. I, II, III

  4. I, II, III, IV

Answer: A


The three methods by which securities may be registered with the states are; Notification, Coordination, and Qualification. The term “Blue Sky Laws” refers to the Uniform Securities

Act. Notification is the simplest method—also known as filing—but is not available in all states. Coordination is the most common— coordinating registration at the state with the

SEC registration. Qualification is the most time-consuming and difficult—the last resort in most cases


Which of the following types of underwriting commitments by an Investment Banker could not be made in an IPO?

  1. Firm Commitment

  2. Standby

  3. Mini-max

  4. Mini-max

Answer: B


A standby underwriting is a form of firm commitment underwriting used in a preemptive

rights offering. The underwriter is “standing by” until after the rights offering has expired and will purchase, for distribution, any unsubscribed shares. Since preemptive rights are only offered to existing shareholders, this could not be done in an Initial Public Offering


What information may be found by a RR when looking at “Pink Sheets"?

  1. Quotations on municipal bonds in the secondary market

  2. Quotations on non-NASDAQ OTC stocks

  3. Quotes on penny stocks

  4. Daily quotations on corporate bonds

Answer: B


Pink Sheets is a daily publication showing quotations on non- NASDAQ Over-The-Counter stocks. The Yellow Sheets are a similar publication for corporate bonds. Pink Sheet stock is

not necessarily “penny stock,” it is simply stock of companies that are not quoted on the NASDAQ system. Pink Sheets are being supplanted by the OTC Bulletin Board (OTCBB),

an electronic service


After the receipt of a written complaint from a customer who has lost money in his account

and before the matter reaches any level of hearing, the broker-dealer settles with the customer and pays him $20,000. After settlement, which of the following are required of the broker-dealer?

  1. Give notice to the Federal Reserve Board

  2. Apply to the SEC for special arbitration procedures

  3. Dismiss the registered representative who handled the customer’s account

  4. Inform the appropriate SRO

Answer: D


Although the firm might fire the RR, it is not a requirement. Informing the SRO—Self Regulatory Organization—such as the NYSE or NASD is a requirement. The SEC does not

get involved in arbitration and the FRB has no function in these proceedings.

Section 6: Sec Six (310 to 314)


Options Contracts


A client opens the following options positions when MML stock is trading at 49: Long 1

MML Dec 50 call@4

Short 1 MML Dec 60 call @1

Just prior to the end of the trading day, on the last business day before the contracts expire, MML stock is trading at 59 and both open positions are closed. What is the profit/loss to the investor?

  1. Profit of $900

  2. Loss of $300

  3. Profit of $600

  4. Loss of $900

Answer: C


When the two contracts are closed, they are closed at their intrinsic value, because there is

no remaining time value. To close an open long position, the investor makes a closing sale. In this case, the investor sells the 50 contract for its intrinsic value of 9. The 60 contract is out-of-the money—has no intrinsic value— and will expire worthless. The investor, as noted above, has a net debit of 3 and sells for 9. 9 – 3 = 6, or $600 profit.


An investor opens the following options positions: Sell 1 MML May 50 Call and Long 1 MML Aug 50 Call This strategy is defined as which of the following?

  1. A debit call spread

  2. A diagonal spread

  3. A credit call spread

  4. A horizontal spread

  1. I, IV

  2. III, IV

  3. I, II

  4. II, III

Answer: A


This is a calendar or horizontal spread because the only difference in the contracts is the

expiration date. It is a debit spread because the time value for the August contract will be greater than the May contract. The contracts have the same intrinsic value because they share the same strike price


An options investor establishes the following positions: Short 1 LTP Nov 35 Put @5 and

Writes 1 LTP Nov 35 Call @ 3. Which of the following statements regarding this strategy is/are true?

  1. The maximum loss is $800

  2. This strategy is a straddle

  3. The maximum loss is unlimited

  4. The investor expects no movement in the market

  1. II, III, IV

  2. I, II

  3. I, II, IV

  4. II, IV

Answer: A


This strategy is a short straddle. This investor has sold (short/write) a call and a put on the

same stock with the same expiration and the same strike price. Since the investor has sold a call, and we cannot assume he/she owns the covering stock, the call is naked and exposes the investor to unlimited upside risk.An investor establishing a short straddle expects little or no movement in the market for the underlying stock


An investor who is bullish on AQS stock would establish which of the following options positions?

  1. Short 1 AQS Jan 50 call. Short 1 AQS Jan 60 call

  2. Long 1 AQS Jan 50 call. Short 1 AQS Jan 60 call

  3. Long 1 AQS Jan 60 call. Short 1 AQS Jan 50 call.

  4. Short 1 AQS Jan 50 put. Long 1 AQS Jan 60 put.

Answer: B


This question requires that, first; you recognize that the spread in choice “C” is bullish

without premiums being provided. The call with the lower strike price and the same expiration on the same stock will always be more expensive. The investor will pay more for the 50 call than he receives for the 60 call, thus establishing a debit, or bull, spread. Note that choice “D,” is not a spread and that is very bearish


A client opens the following options positions when MML stock is trading at 49:

Long 1 MML Dec 50 call@4 Short 1 MML Dec 60 call @1

If the investor who established the strategy did not close the positions, what would happen at expiration if the market had closed on the final trading day at 51?

  1. The 60 call would not be exercised, but the 50 call would.

  2. Both contracts would be exercised

  3. Both contracts would expire worthless.

  4. The exchange would close both contracts at intrinsic value

Answer: A


When a customer has not given instructions to close the contract(s) the OCC (Options

Clearing Corporation) will automatically exercise contracts that are .75 or more in-the­ money for a customer. The automatic exercise for a member firm is .25 in-the-money

Business-Tests Series7 Exam (General Securities Representative Series 7) Detailed Information

Series 7 Exam
This exam is administered by the Financial Industry Regulatory Authority (FINRA) and provides an individual with the qualifications necessary in order to make different types of trades with all types of general securities, excluding commodities and futures. It is also one of the steps necessary in order for a member firm associate to register with FINRA. The Series 7 exam must be passed in order to take many other principal exams offered by FINRA. FINRA announced in 2015 that they will be making major changes to their exam structure by introducing The Securities Industry Essentials Exam (SIE)
1. Getting Started
2. Equities
3. Securities Transactions
4. Debt Securities
5. Municipal Securities
6. Packaged Securities
7. Retirement Accounts
8. Derivatives
9. Customer Accounts
10. Determining Customer Objectives
11. Portfolio Management
12. Risk and Tax Considerations
13. Rules and Regulations
The Series 7 exam is administered by the Financial Industry Regulatory Authority (FINRA) (previously the National Association of Securities Dealers (NASD)) and provides an individual with the qualifications necessary in order to process trades with all types of corporate securities, excluding commodities and futures. The Series 7 exam must be passed in order to take many other principal exams offered by FINRA.
Because the Series 7 Examination intends to measure competence at an entry level, every effort is made to avoid including questions that can only be answered correctly by a small proportion of candidates. The measurement purpose of the Series 7 Examination is to determine whether or not a candidate has attained the level of competency required to function as a Registered Representative (RR), not to rate the candidate in relation to the candidate group. In other words, you are not competing with anyone. You are just taking an entry-level, pass-fail exam.Here is some more useful information:
Time Limit Six hours. Three in the morning, followed by a one-hour break, then three in the afternoon.
Questions 250 multiple choice questions Questions are comprised of inter-related components: functions, tasks, knowledge statements and rule knowledge
Passing Score 72%
Exam Fee $290 as of August 2012. For more see the FINRA Registration/Exam Fee Schedule.
Exam Date(s): Exams occur on any weekday. Find your US or International exam center here.
Prerequisites: You must be sponsored by a financial company who is a member of FINRA, or a Self-Regulatory Organization (SRO).
You probably already know about the Catch-22 inherent in getting a Series 7 license. To get a job in financial securities, you need a Series 7, but to get a Series 7, you need a job in financial securities.This presents a difficult, but not insurmountable, problem. There are similar hurdles to getting through any licensure or apprenticeship program for any job worth having. There is more than one way to get into the business, and within this section we will give you a few suggestions.
Series 7 Exam - General Securities Representative Examination (GS)
The Series 7 exam – the General Securities Representative Qualification Examination (GS) – assesses the competency of an entry-level registered representative to perform his or her job as a general securities representative.
The exam measures the degree to which each candidate possesses the knowledge needed to perform the critical functions of a general securities representative, including sales of corporate securities, municipal securities, investment company securities, variable annuities, direct participation programs, options and government securities.
The exam consists of 250 scored questions and an additional 10 unscored pretest questions. Candidates are given six hours to complete the exam and it is conducted in two three-hour sessions with 130 questions per session. The passing score is 72 percent.
Please see NASD Rule 1032(a) General Securities Representative for more information.
Content Outline
Permitted Activities
Taking The Exam
Key Questions
Using Reference Materials
Content Outline
The Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. It includes sample questions to acquaint a candidate with the types of multiple-choice questions on the exam. The outline is comprised of the five main job functions of a Series 7 representative:
Function 1—Seeks business for the broker-dealer through customers and potential customers
Function 2—Evaluates customers’ other security holdings, financial situation and needs, financial status, tax status, and investment objective
Function 3—Opens accounts, transfers assets and maintains appropriate account records
Function 4—Provides customers with information on investments and makes suitable recommendations
Function 5—Obtains and verifies customers’ purchases and sales instructions, enters orders, and follows up
Download: Series 7 Content Outline
The Series 7 does not have a prerequisite exam.
Please see Register a New Candidate for more information on the registration process.
Permitted Activities
A candidate who passes the Series 7 exam is qualified for the solicitation, purchase and/or sale of all securities products, including corporate securities, municipal fund securities, options, direct participation programs, investment company products and variable contracts.
Covered activities and products include:
Public offerings and/or private placements of corporate securities (stocks and bonds)
Mutual funds
Money market funds
Unit investment trusts (UITs)
Exchange traded funds (ETFs)
Real estate investment trusts (REITs)
Options on mortgage-backed securities
Government securities
Repos and certificates of accrual on government securities
Direct participation programs
Securities traders
Venture capital
Sale of municipal securities
Hedge funds
Taking the Exam
The table below lists the allocation of exam questions for each main job function of a general securities representative.
Major Job Functions Percentage of Test Questions Number of Test Questions
(F1) Seeks business for the broker-dealer through customers and potential customers 27% 68
(F2) Evaluates customers’ other security holdings, financial situation and needs, financial status, tax status, and investment objectives. 11% 27
(F3) Open accounts, transfer assets, and maintains appropriate account records. 11% 27
(F4) Provides customers with information on investments and makes suitable recommendations. 28% 70
(F5) Obtains and maintains customer’s purchase and sales instructions, enters orders, and follows up. 23% 58
TOTAL 100% 250
See On the Day of Your Exam for more information.
Key Questions
1. If I pass the Series 7, will I be able to trade municipal securities?
If an individual took and passed the Series 7 prior to November 7, 2011, he or she will be able to trade municipal securities, structure municipal securities underwritings and perform certain other activities involving municipal securities.
If an individual took and passed the Series 7 on or after November 7, 2011, he or she will be qualified to engage only in municipal securities sales to, and purchases from customers. If an individual wants to be qualified to structure municipal securities underwritings or perform activities involving municipal securities that are beyond the scope of selling municipal securities to and purchasing municipal securities from customers, that individual would have to take and pass the Series 52 (Municipal Securities Representative Exam).
2. Does Series 7 serve as a pre-requisite to the Series 53 (Municipal Securities Principal Exam)?
If an individual took and passed the Series 7 prior to November 7, 2011, he or she is qualified to sit for the Series 53 examination.
If an individual took and passed the Series 7 on or after November 7, 2011, he or she would have to take and pass the Series 52 (Municipal Securities Representative Exam) as a prerequisite to taking the Series 53 examination.
3. What is the difference between Series 7 and Series 62?
The General Securities Representative Examination (Series 7) is an entry-level examination that qualifies the individual for registration with all self-regulatory organizations to trade:
corporate stocks and bonds
real estate investment trusts (REITs)
collateralized mortgage obligations (CMOs)
municipal securities
options-equity, index, and foreign currency
investment company products/variable contracts
direct participation programs
exchange traded funds (ETFs)
The Corporate Securities Limited Representative Examination (Series 62) satisfies a FINRA qualification requirement for individuals who will trade corporate securities only. These include:
corporate stocks and bonds
collateralized mortgage obligations (CMOs)
exchange traded funds (ETFs)
Using Reference Materials
The test administrator will provide whiteboard/dry erase marker and basic electronic calculators to the candidates, which must be returned to the test center administrator at the end of the testing session. Some test questions involve calculations. Only the provided calculators may be used during the examination.
The examination may contain questions that require the use of exhibits (e.g., charts, graphs, tables). If so, the questions will indicate when to refer to an exhibit.
Candidates are not permitted to bring any reference materials to testing sessions. Severe penalties are imposed on candidates who cheat or attempt to cheat on FINRA administered examinations.
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