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FINRA General Securities Representative Examination (GS) Sample Questions:

1. Under what circumstances may a registered investment company change its investment objective?

A) after it obtains a new charter from the state secretary
B) after SEC approval
C) after providing notice that is recorded in the Federal Register
D) after approval by a majority vote of the shareholders

2. Which of the following does not appear in the official notice of sale?

A) an offering scale of serial maturates
B) method and place of settlement
C) amount of good faith check required
D) denominations and registration privileges

3. Bubba entered an order to sell long 100 shares of XYZ at 38.75 stop limit. Thereafter, the following
round-lot transactions occurred: 38.75, 38.65, 38.50. At what price was Bubba's order executed?

A) 38.65
B) 38.50
C) it was never executed
D) 38.75

4. A revenue bond is issued by a state agency. The state legislature is granted authority to apportion money
to support the debt services if necessary, but is not legally obligated to do so. What type of bond is this?

A) Series 8
B) moral obligation
C) double-barreled
D) limited tax

5. Bubba Corporation owes income tax. Which of the following may be tendered at par value for payment of
the tax?

A) special tax bond
B) term bond
C) tax anticipation bill
D) pre-issue bond

Solutions: