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FINRA General Securities Representative Examination (GS) Sample Questions:

1. Who is responsible for verifying that limited partners meet net worth and income requirements?

A) the sponsor
B) the limited partners
C) the registered representative
D) the general partner

2. Which of the following statements is not true about exchange traded options?

A) they are adjusted for stock dividends
B) they are adjusted for stock splits
C) they are adjusted for reverse splits
D) they are adjusted for cash dividends

3. If recaptured deductions are added to income, recaptured investment tax credits are added to:

A) basis
B) gains
C) taxes
D) income

4. A company earns $6 per share and pays out 20% in common stock dividends. What does the stock yield if
it sells at $30 per share?

A) 4%
B) 6%
C) 10%
D) 2.5%

5. What type of mutual fund would invest in equities and bonds?

A) technology
B) growth
C) dual purpose
D) balanced

Solutions: