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Series 7 Exam Questions with Correct Answers | 100% Pass
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Series 7 Exam Questions with Correct Answers | 100% Pass A registered principal or registered representative must retake the qualifying exam if his or her registration has been revoked or terminated for a period of ____________ or more. A.) 1 year B.) 5 years C.) 3 years D.) 2 years - Answe...

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  • September 25, 2024
  • 23
  • 2024/2025
  • Exam (elaborations)
  • Questions & answers

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  • series 7 exam questions with correct answers 100

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TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024

Series 7 Exam Questions with Correct
Answers | 100% Pass


A registered principal or registered representative must retake the qualifying exam if his

or her registration has been revoked or terminated for a period of ____________ or

more.

A.) 1 year

B.) 5 years

C.) 3 years

D.) 2 years - Answer✔️✔️-D.) 2 Years

A member may maintain a representative registration for which of the following

persons?I. A person who performs legal, compliance, or internal audit functions for the

memberII. A person who performs back-office functions for the memberIII. A person

who is no longer functioning as a representativeIV. A person who performs

administrative functions for registered personnel

A.) I, II, III, IV

B.) I, II, III

C.) I, II & IV

D.) I & II only - Answer✔️✔️-C.) I, II & IV



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,TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024
Which of the following is true regarding persons who are to function as research

analysts?

A.) None of these answer choices.

B.) They must be registered as a general securities representative and pass a qualifying

examination for research analysts.

C.) They must be registered as a general securities representative only.

D.) They must pass a qualifying examination for research analysts only. - Answer✔️✔️-

B.) They must be registered as a general securities representative and pass a qualifying

examination for research analysts.

Within how many days must a member report to FINRA if the member or an associated

person of the member is the subject of a written customer complaint involving

allegations of theft or misappropriation of funds?

A.) 10 business days

B.) 15 calendar days

C.) 20 business days

D.) 30 calendar days - Answer✔️✔️-D.) 30 calendar days

Which of the following are considered institutional investors?

A.) A governmental entity

B.) An employee benefit plan that meets the requirement of Section 403(b) or Section

457 of the Internal Revenue Code and has at least 100 participants




2/23

, TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024
C.) A qualified plan as defined in Section 3(a)(12)(C) of the Exchange Act and that has

at least 100 participants

D.) All of these answer choices - Answer✔️✔️-D.) All of these answer choices

An options contract that gives the holder the right to purchase the number of shares of

the underlying security is a _________________.

A.) Covered

B.) Uncovered

C.) Put

D.) Call - Answer✔️✔️-D.) Call

Which of the following registered principals may approve the purchase of a variable

annuity?I. General Securities Sales Supervisor (Series 9/10)II. General Securities

Principal (Series 24)III. Investment Company Products/Variable Contracts Principal

(Series 26)

A.) I, II, & III

B.) III only

C.) I only

D.) I & III - Answer✔️✔️-A.) I, II, & III

Correspondence means any written communication that is distributed to _____ or fewer

retail investors within any ______-day period.

A.) 10 or fewer investors within any 10-day period

B.) 15 or fewer investors within any 20-day period


3/23

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