By Steven M. Rice
1,001 possibilities to perform for the sequence 7 examination
This complete research consultant takes you past the guideline provided in Series 7 examination For Dummies, through supplying you with extra perform and assessment of the key suggestions lined within the examination. in case you are prepping to take this excessive six-hour examination, 1,001 sequence 7 examination perform Questions For Dummies covers shares, municipal and company bonds, and options—plus principles for buying shoppers and dealing with debts and every thing else you could count on to come across on examination day!
This books delivers 1,001 perform possibilities to organize for the sequence 7 examination, every one query defined by means of supplying an in depth, step by step solution.
If you are an aspiring monetary specialist, you will find the entire perform and valuable information you must succeed!
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Extra info for 1,001 Series 7 Exam Practice Questions For Dummies
The issuer’s name and description of its business what the proceeds of sale will be used for financial statements the company’s capitalization (A) I and III (B) I, II, and III (C) I, III, and IV (D) I, II, III, and IV 28. Which of the following is TRUE? The registrar is responsible for making sure that a corporation’s outstanding shares do not exceed the amount of authorized shares. The transfer agent is responsible for making sure that a corporation’s outstanding shares do not exceed the amount of authorized shares.
A) official statement (B) trust indenture (C) syndicate agreement (D) preliminary prospectus 35–44 Distribution of Profits 35. Place the following in order from largest compensation to smallest compensation in an underwriting spread. concession manager’s fee reallowance takedown (A) IV, I, III, II (B) II, III, I, IV (C) I, II, III, IV (D) III, II, I, IV 36. The public offering price to purchase a new issue of DEF Corporate bonds is $1,000. However, the issuer receives only $989 per bond. What is the $11 difference called?
Dollar denominated. S. and the issuer’s home state. They are subject to currency risk. (A) II, III, and IV (B) I, II and IV (C) I, II, and III (D) I, III, and IV 126. S. government bonds? (A) fully registered (B) partially registered (C) bearer (D) book entry 127. A collateral trust bond is (A) mainly issued by transportation companies (B) backed by stocks and bonds owned by the issuer (C) issued by corporations in bankruptcy (D) backed by the assets of a parent company 128. One of your clients is interested in bonds with a relatively high level of regular income with only a moderate amount of risk.
1,001 Series 7 Exam Practice Questions For Dummies by Steven M. Rice