FINRA General Securities Representative Examination (GS) Series7 Prüfungsfragen mit Lösungen:
1. Which of the following stock exchanges is not registered with the SEC?
A) all are registered
B) Chicago Stock Exchange
C) Boston Stock Exchange
D) Pacific Stock Exchange
2. A withdrawal from a Roth IRA may be a qualified distribution if the Roth IRA has been open for at least:
A) 2 years
B) 90 days
C) 5 years
D) one year
3. An investment company incapable of issuing a long-term debt instrument is:
A) an open-end investment company
B) a unit investment trust
C) a face-amount certificate company
D) a closed-end investment company
4. When an index option is exercised, settlement is made by:
A) delivery of the underlying securities
B) delivery of a futures contract
C) any of the above
D) cash
5. Which of the following is not an investment company within the terms of the Investment Company Act of
1 940?
A) a management company
B) a unit investment trust company
C) a face-amount certificate company
D) a holding company dealing in mineral leaseholds
Fragen und Antworten:
| 1. Frage Antwort: A | 2. Frage Antwort: C | 3. Frage Antwort: A | 4. Frage Antwort: D | 5. Frage Antwort: D |
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