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FINRA General Securities Representative Examination (GS) Sample Questions:

1. Which of the following is not found in the final prospectus?

A) a statement that the SEC neither approves nor disapproves of the issue
B) the public offering price
C) a copy of the underwriting agreement
D) a statement as to possible stabilization by the manager

2. 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

3. Bubba opens an account at a broker/dealer with instructions to "transfer and ship". This means that:

A) transactions for Bubba will be transferred to another broker for processing
B) each trade report must note Bubba's certificate registration instructions
C) all correspondence to Bubba must be sent registered mail
D) securities purchased must be registered in Bubba's name and then delivered to him

4. Which of the following sets out the details for the management board of condominiums, including the
board's powers and limitations?

A) bylaws
B) rental agreement
C) master deed
D) loan agreement

5. Which of the following is a benefit of Section 8 low-income housing partnerships?

A) potential for capital appreciation
B) high, reliable income
C) low risk
D) large deductions

Solutions: