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Series7 PDF DEMO:
QUESTION NO: 1
Bubba's pledge to purchase a specified dollar amount of a mutual fund within a specified period of time is called:
A. a promissory note
B. a letter of intent
C. an investment letter
D. a stock power
Answer: B
Explanation: a letter of intent. This accurately describes the definition of a letter of intent.
QUESTION NO: 2
When a corporation dissolves, who gets paid first?
A. bank lenders
B. senior bond holders
C. the tax collector
D. the lawyer
Answer: C
Explanation: the tax collector. Taxes always have preference over any other creditors.
QUESTION NO: 3
In June, Bubba bought 100 shares of XYZ at $35. In November, he bought a listed put in XYZ with a $35
strike price and a July expiration for a premium of $600. In April, Bubba exercises the put option and uses
his stock for delivery. What is his resulting tax consequence?
A. a $600 capital loss
B. neither profit nor loss
C. cannot be determined without knowing the market price of XYZ upon exercise
D. this is a wash sale and cannot be included in the investor's tax calculations
Answer: A
Explanation: a $600 loss. The strike price and Bubba's purchase price are the same. He has a $600 loss
on the option for the premium he paid.
QUESTION NO: 4
The definition of debentures is:
A. a loan secured by real estate
B. collateralized securities
C. a worthless security
D. securities backed by the general credit of the issuers but no specific collateral
Answer: D
Explanation: securities backed by the general credit of the issuers but no specific collateral. And in the
case of some issuers, that may be fairly worthless.
QUESTION NO: 5
Bubba Brokerage Corporation announces through its wire system that it has a large block of stock for sale.
Customers purchasing the stock will not pay a commission. The block is crossed on the NYSE floor and is
printed on the NYSE tape. This is called a:
A. special order
B. exchange distribution
C. secondary distribution
D. specialist block purchase
Answer: B
Explanation: exchange distribution. An exchange distribution is a large block sold internally by one firm
that is crossed on the floor of the exchange. The trade would print on the tape identified by the letters "DIST".
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Updated: May 26, 2022