Series7 試験問題を無料オンラインアクセス

A mutual fund with an 8% load and a 1% redemption fee carries a current quote of $6.25 - $6.79. If an
investor has tendered his shares for redemption on that basis, the per share price he will receive is
approximately:

• A.$6.25
• B.$6.79
• C.$6.19
• D.$6.72

What does the following mean when printed on the stock exchange ticker tape?

• A.the last sale of MST was for 100 shares at 98.25
• B.one hundred shares of MST traded on the exchange and appear out of order on the tape
• C.the preceding transaction in MST was tow or more points different than 98.25
• D.trading was suspended on MST pending dissemination of news

A trust instrument drawn pursuant to the Trust Indenture Act of 1939 sets forth which of the following?

• A.the obligations of the issuing corporation
• B.both B and C
• C.the rights of stockholders
• D.the duties of the trustee

In a corporation's financial statements, earned surplus is also recognized as:

• A.earnings retained after payment of dividends to shareholders
• B.operating income after payment of interest expense
• C.net income
• D.gross profit

Maintaining a fair and orderly market and acting as a broker's broker are dual functions of the:

• A.competitive trader
• B.two-dollar broker
• C.odd-lot dealer
• D.specialist