Series 7 Free Sample Questions

Approval for a registered investment company to change is investment objective from income to growth is required from which of the following?

According to FINRA Conduct Rules, a party judged guilty of a rule infraction by the District Business Conduct Committee may then appeal to:

A tax-free rollover of assets between qualified retirement plans for the benefit of a specific individual is permitted so long as it is accomplished within:

Municipal syndicate allocation procedures are described in which of the following?

Which of the following have a stated interest rate on the face of the certificates?

Municipal bond brokers generally conduct the following:

All sales literature and advertising relating to investment company shares prepared by members of FINRA must be filed for review with which of the following?

Bubba Securities, Inc. offers 3,000,000 shares of Top Notch Manufacturing Corporation common stock at $27 per share. The next day an advertisement appears in the Wall Street Journal announcing the offering and listing the names of some of the underwriting firms. This ad is commonly referred to as a:

Bubba plans to borrow some money and pledge securities as collateral. Which of the following can he not use as collateral?

An issuer is most likely to request an investment letter from the purchaser in connection with which of the offerings?