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FINRA General Securities Representative Examination (GS) Sample Questions:
1. Which of the following is the least important method of money control exercised by the Federal Reserve?
A) Regulation T
B) open market operations
C) reserve requirements
D) discount rate
2. Which of the following statements about the custodian for an open-end mutual fund is correct?
A) the custodian may perform an essential clerical service for the fund and its shareholders
B) the custodian affords protection against decline in value of fund shares
C) the custodian performs all management, supervisory, or investment functions
D) the custodian takes part in the sale of fund shares
3. Bubba's pledge to purchase a specified dollar amount of a mutual fund within a specified period of time is called:
A) an investment letter
B) a promissory note
C) a letter of intent
D) a stock power
4. A corporation makes a rights offering to raise $10 million of new capital by issuing one million shares of
common stock. If it already has six million shares outstanding at the time of the offering. What is the
subscription price per share?
A) $4
B) $6
C) $10
D) $7
5. Which of the following is not an intangible drilling cost?
A) repairs
B) machinery and pipe
C) salaries
D) supplies and fuel
Solutions:
| Question # 1 Answer: A | Question # 2 Answer: A | Question # 3 Answer: C | Question # 4 Answer: C | Question # 5 Answer: B |
Martha 
Aubrey 
Brady 
Clement 
Arno 
Nora 
Irma 
Megan 
Selena 
Levi 
Maximilian 
Eden 
Ansel 
Olivia 
Fabian 
Carol 
Yetta 
Paddy 
Ivan 
