May, 2024 Series-7 Practice Questions

Unique Spoto FINRA Series-7 Practice Questions

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Sample Question 1

Bubba owns 100 shares of XYZ at $58. He needs to limit his loss to 5 points or less and will accept a longer time for the order to be executed, to make sure the loss does not exceed 5 points.Which of the following orders would be the best recommendation?

A. sell limit order 
B. sell stop-limit order 
C. sell stop order 
D. buy stop order 

Show Answer

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Sample Question 2

Prospective bidders for a municipal bond being issued should consult what document for relevant procedures?

A. the Eastern account agreement 
B. the official notice of sale 
C. the offering circular 
D. the SEC Registration Statement 

Show Answer

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Sample Question 3

The market theory stating that the small investor is usually wrong is called the:

A. advance-decline theory 
B. odd-lot theory 
C. Dow theory 
D. short interest theory 

Show Answer

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