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FINRA General Securities Representative Examination (GS) Sample Questions:

1. Big Easy Investment Banking, Inc., participates in a Western account underwriting of $10 million of
municipal bonds by agreeing to underwrite 10% of the issue. One week later, $4 million remains unsold
but Big Easy has distributed $1.5 million of bonds. What is the liability of Big Easy remaining in the
account?

A) $0
B) $600,000
C) $400,000
D) $1,000,000

2. What percentage of maintenance charges and debt service are covered by the rate covenant of a revenue
bond issued to finance a municipal toll road?

A) 75%
B) 120%
C) 150%
D) 100%

3. Which of the following is not a practice of a mutual fund custodian?

A) changing shareholder registrations on the fund's records
B) lending the fund's securities to banks or broker/dealers
C) maintaining sales records for the fund's underwriter
D) disbursing dividends and capital gains to the fund's shareholders

4. The initial Federal Reserve Bank margin requirement is set at 60% and Bubba purchases 100 shares of
XYZ at $100 per share. He deposits $6,000 of the $10,000 purchase price in his account. If XYZ
increases in value to $150 per share, how much excess equity would Bubba have in his account?

A) $3,000
B) $1,500
C) $2,000
D) $1,000

5. In regard to discretionary accounts, which of the following statements is correct?

A) the account must be accepted in writing by an officer of the member firm
B) both B and C
C) the customer must grant written authorization to the member firm to exercise discretion in the account
D) the customer must approve each transaction in writing before the order is entered

Solutions: