Series 7 Exam Prep - Practice Test 8. Hit Pause, Answer, Hit Play. Answer Key in Video Description
1. A. Revenue pledge 2. D. Open end fund 3. D. Short option contracts 4. A. NASDAQ Data Feeds 5. C. Margin mark to market 6. A. EPIC 7. A. Secured or collateralized bonds 8. B. Covered options 9. A. Margin account documentation 10. A. Minimum maintenance 11. D. Annuities 12. A. Specialists or DMMs 13. C. Inside market 14. A. Treasury bills 15. D. Stock split 16. A. TANS, BANs, RANs, TRANs 17. C. Buying power 18. D. Immediate or cancel 19. C. Callable bonds 20. B. 5% Policy 21. B. NAV and POP 22. C. Discretionary accounts 23. D. Short margin account 25. C. Sales charge in mutual funds 26. C. Sales charges 27. C. UGMA 28. B. Sell stop limit 29. C. Private equity fund 30. B. Limited partnership 31. A. Long term bonds 32. D. Shareholder approval is NOT required for stock splits 33. C. Listed option contracts 34. A. Numbered account 35. B. Cumulative preferred stock 36. B. Rule 144 37. A. Portfolio margin 38. A. Notice of Sale 39. B. Wash sale 40. A. Syndicate letter 41. C. Long or short the option contract 42. D. Accretion 43. B. Portfolio margin 44. B. Discretionary order 45. C. Balance sheet 46. D. Converting a bond into stock 47. A. Variable annuity 48. C. Dollar cost averaging 49. D. Sinking fund 50. C. Cost basis 51. B. Growth stock 52. B. Coupon = basis = Par 53. A. Western and Eastern syndicates 54. D. ADRs 55. A. Current yield 56. B. Rule 144 57. D. Bonds are senior securities 58. D. Know Your Customer (KYC) 59. A. $3,000 in losses against earned income 60. B. Cumulative voting 61. D. Breakeven 62. D. Selling concession 63. C. Long put 64. C. Buying a put on a stock position 65. B. Wash sale 66. C. Stock plus option 67. D. Long call 68. C. ACAT transfer 69. B. Trading authority 70. C. Double barreled bond 71. D. Cooling off period 72. B. Rule 147 73. D. Fundamental Analysis 74. B. Bonds at par 75. C. Current yield 76. C. Stock power 77. B. Accrued interest 78. C. Workable indication 79. A. FRB Reg T 80. A. Trading Permit Holder 81. A. FRB 82. C. Outstanding shares 83. D. Roth IRA 84. C. Semi annual 85. A. Covered call 86. B. Industrial Development Revenue bonds 87. A. Defensive stocks 88. D. Customer confirmations 89. A. Round lots 90. C. Head and shoulders 91. A. Stabilizing bid 92. B. Stop order 93. C. OCC 94. D. Loan amount 95. C. Trust Indenture 96. A. Negotiated underwriting 97. A. Variable annuity 98. B. Debit Balance (DR) 99. A. CMO 100. A. Suitability 101. A. Unsolicited orders 102. B. Technical analysis 103. D. Straddle or combination 104. A. Selling short 105. D. Rights offering 106. A. Inverse relationship 107. C. GNMA 108. B. Limited partnership 109. B. Dividends 110. C. Debt securities 111. A. Previous recommendations 112. B. Money market 113. C. Increase to SMA 114. D. Covered call 115. D. Long straddle 116. D. Principal review 117. C. Debit spread 118. C. Asset allocation 119. C. Minimum maintenance 120. A. JTWROS 121. A. Cost basis in a call contract 122. C. 5% policy 123. B. Debt to equity 124. A. In the money 125. C. General Partner 126. B. Rule 147 127. C. Passive income 128. C. Reg D 129. D. Insider Trading 130. B. Bonds purchased at a premium 131. A. Trust Indenture Act of 1939 132. C. Breakpoint 133. B. Accretion 134. A. Treasury STRIPS 135. D. Par value
