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FINRA General Securities Representative Examination (GS) Sample Questions:

1. Which of the following is true about a customer with a frozen account?

A) must deposit sufficient cash for each transaction no later than the settlement date
B) may make purchases but not sales of corporate securities
C) must deposit the full purchase cost before an order is executed
D) may not trade corporate securities under any circumstances

2. Maintaining a fair and orderly market and acting as a broker's broker are dual functions of the:

A) competitive trader
B) specialist
C) odd-lot dealer
D) two-dollar broker

3. Bubba held one XYZ July 30 listed call option when XYZ split 2 for 1. What is the resulting position Bubba
has on the Option Clearing Corporation's record?

A) long two XYZ July 15 calls
B) long one XYZ July 30 call
C) long two XYZ July 30 calls
D) long one XYZ July 30 call and short one XYZ July 30 call

4. What percentage load is associated with a mutual fund quoted 16.60-18.04?

A) 9%
B) 8%
C) 8.7%
D) cannot be determined from this information

5. Convertible preferred stock has all of the following characteristics except:

A) a lower dividend rate than non-convertible preferred
B) a requirement for shareholders to always accept the call price when called
C) required dividend payments to shareholders before any dividends are paid to holders of common stock
D) a dilution of earnings if converted into common stock

Solutions: