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FINRA General Securities Representative (Series-7) Free Practice Questions

Getting ready for your FINRA General Securities Representative Series-7 exam can feel like a big hurdle, right? Don't worry, we've got your back! Jump into our completely free Series-7 practice questions - they're just like the real test, designed to help you get comfortable and pinpoint exactly what you need to study more. Let's get you feeling super confident for exam day!

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61. In the sale of open-end investment company shares, the amount at which the sales charge...
62. When the market value in a long margin account decreases, the SMA will:
63. Which of the following is not in the subscription agreement for a limited partnership offering?
64. A registered bond with “Happy Birthday” scrawled across the face of the certificate is delivered...
65. An ERISA benefits plan qualified under Section 401(a) of the Internal Revenue Code may:
66. Bubba buys a 5% municipal bond maturing in 15 years that is trading at a...
67. Which of the following types of investment companies pays out 90% of its net investment...
68. If a customer fails to pay for securities purchased in a cash account, the member...
69. Under what conditions may an FINRA member firm sell an IPO to an employee of...
70. Which of the following is not an investment company within the terms of the Investment...
71. If recaptured deductions are added to income, recaptured investment tax credits are added to:
72. Big Guns Municipal Bond Dealer Corporation buys 100M of 7% 20-year GO bonds at par.
73. Under Rule 415 a corporation may file a single registration statement with the SEC covering...
74. Bubba Corporation has a registered public offering of 750,000 shares at $40.
75. An investment company incapable of issuing a long-term debt instrument is:
76. Bubba buys a $4 convertible preferred with a $50 par value that is exchangeable for...
77. An investment company acting as a conduit in the distribution of net investment income, pursuant...
78. Which of the following may occasionally be purchased at a discount from net assets value?
79. Bubba holds 200 shares of common stock in a utility company and receives rights to...
80. Which of the following does not issue debt securities that trade in the open market?

FINRA Series-7 Summary

  • Vendor: FINRA
  • Product: Series-7
  • Update on: Jul 25, 2025
  • Questions: 400
  • Page: 4 / 6
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TESTED 02 Aug 2025