Series-7無料問題集「FINRA General Securities Representative Qualification Examination (GS)」

質問 1

An investment company acting as a conduit in the distribution of net investment income, pursuant to IRS rules, is called:

（A）regulated

（B）balanced

（C）dual-purpose

（D）diversified

正解：A 解答を投票する

解説: (JPNTest メンバーにのみ表示されます)

質問 2

If a customer dies, the registered representative is required to:

（A）await instructions and necessary papers from the executor of the estate

（B）sell out the account

（C）cancel all open (good 'til cancelled) orders

（D）both A and B

正解：D 解答を投票する

解説: (JPNTest メンバーにのみ表示されます)

質問 3

Under Rule 415 a corporation may file a single registration statement with the SEC covering its anticipated financing need for the next:

（A）two years

（B）five years

（C）three years

（D）one year

正解：A 解答を投票する

解説: (JPNTest メンバーにのみ表示されます)

質問 4

Bubba is age 54 and has investments in a retirement plan with his former employer valued at $104,500. Bubba withdraws $25,000 to open a retail clothing store.
Which of the following statements is true regarding Bubba's tax consequences?

（A）only regular income tax is due on the amount withdrawn

（B）the entire account is terminated and $104,500 is immediately taxable

（C）a penalty of 10% of the withdrawn amount is assessed

（D）a penalty of 10% on all assets in Bubba's account is assessed

正解：C 解答を投票する

解説: (JPNTest メンバーにのみ表示されます)

質問 5

Which of the following best describes depreciation?

（A）capitalized and amortized maintenance costs

（B）deductions from gross income to offset lower value of equipment

（C）return of principal from real estate investments

（D）a tax credit available to investors in heavy equipment

正解：B 解答を投票する

解説: (JPNTest メンバーにのみ表示されます)

質問 6

Bubba Corporation has 3,500,000 shares of common stock outstanding and its trading volume in the few weeks has been as follows:
Week 1 - 43,000
Week 2 - 30,900
Week 3 - 37,500
Week 4 - 42,600
Week 5 - 33,000 (the most recent week)
If an affiliated person wanted to liquidate some of his holding of 100,000 shares pursuant to SEC Rule 144, how many shares could he sell?

（A）37,400

（B）36,000

（C）35,000

（D）38,500

正解：B 解答を投票する

解説: (JPNTest メンバーにのみ表示されます)

質問 7

The net investment income of an open-end investment company represents:

（A）net income from dividends and interest paid on securities in the fund's portfolio

（B）net gains on sales of portfolio securities

（C）net profits from the investment company operation

（D）dividends, interest, and net gains on sales of securities

正解：A 解答を投票する

解説: (JPNTest メンバーにのみ表示されます)

質問 8

Which of the following receives the highest priority of a municipal bond trustee when applying income and revenue derived from a financed toll facility?

（A）bond service account fund

（B）operation and maintenance fund

（C）renewal and replacement fund

（D）reserve maintenance fund

正解：B 解答を投票する

解説: (JPNTest メンバーにのみ表示されます)

質問 9

Bubba buys a bond issued at par with a 5% coupon that is convertible into common stock at $40. The bond increases in value by 20 points.
What is the conversion parity of the stock?

（A）$25

（B）$50

（C）$40

（D）$48

正解：D 解答を投票する

解説: (JPNTest メンバーにのみ表示されます)

質問 10

With respect to the public offering of securities by an underwriting syndicate, which of the following is true?

（A）the selling concession is greater than the underwriting spread

（B）the reallowance is greater than the underwriting spread

（C）the reallowance is greater than the selling concession

（D）the underwriting spread is greater than the selling concession

正解：D 解答を投票する

解説: (JPNTest メンバーにのみ表示されます)

質問 11

In a triple net lease, which of the following is the tenant not responsible for paying?

（A）taxes

（B）maintenance

（C）insurance premiums

（D）financing charges

正解：D 解答を投票する

解説: (JPNTest メンバーにのみ表示されます)

質問 12

Reinvestment of dividends and distributions from investment company shares:

（A）permits deferment of all federal income taxes on dividends and distributions until the investment is liquidated

（B）results in compounding of shares, which can be an important factor for investment growth

（C）makes possible the purchase of fund shares at a price below net asset value

（D）all of the above

正解：B 解答を投票する

解説: (JPNTest メンバーにのみ表示されます)

質問 13

An excerpt from a recent tombstone ad reveals bonds offered publicly at 101.
Why were they priced at a premium?

（A）to provide the issuer with a larger deduction from pre-tax earnings for higher than usual interest payments

（B）to enable investors to establish a tax loss when the bonds are redeemed at maturity

（C）to comply with SEC rules mandating such pricing for debt issues maturing in the year 2000 and thereafter

（D）to reflect prevailing credit ratings and market conditions for the issuer

正解：D 解答を投票する

解説: (JPNTest メンバーにのみ表示されます)

Series-7 無料問題集「FINRA General Securities Representative Qualification Examination (GS)」

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