By Steven M. Rice

1,001 possibilities to perform for the sequence 7 examination

This complete learn advisor takes you past the guide provided in Series 7 examination For Dummies, by way of supplying you with extra perform and assessment of the key options lined within the examination. if you are prepping to take this excessive six-hour examination, 1,001 sequence 7 examination perform Questions For Dummies covers shares, municipal and company bonds, and options—plus principles for buying shoppers and dealing with bills and every little thing else you could count on to come across on examination day!
This books supplies 1,001 perform possibilities to organize for the sequence 7 examination, each one query defined by means of offering a close, step by step solution.

If you are an aspiring monetary specialist, you can find the entire perform and worthwhile information you want to succeed!

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You should inform them that to be considered accredited investors, they must have a combined annual income of at least (A) $200,000 (B) $300,000 (C) $500,000 (D) $1 million 64. All of the following are exempt securities under the Act of 1933 EXCEPT (A) treasury bonds (B) municipal general obligation bonds (C) REITs (D) public utility stocks Chapter 2 Equity Securities To be a corporation, you must have stockholders. Both common and preferred stock are considered equity securities because they represent ownership of the corporation.

Dollar denominated. S. and the issuer’s home state. They are subject to currency risk. (A) II, III, and IV (B) I, II and IV (C) I, II, and III (D) I, III, and IV 126. S. government bonds? (A) fully registered (B) partially registered (C) bearer (D) book entry 127. A collateral trust bond is (A) mainly issued by transportation companies (B) backed by stocks and bonds owned by the issuer (C) issued by corporations in bankruptcy (D) backed by the assets of a parent company 128. One of your clients is interested in bonds with a relatively high level of regular income with only a moderate amount of risk.

An investor purchases a DEF 4% convertible preferred stock at $90. The conversion price is $25. If the common stock is trading one point below parity, what is the price of DEF common stock? 00 96. What is the advantage to a corporation issuing callable preferred stock as compared to non-callable preferred stock? (A) It allows the issuer to take advantage of high interest rates. (B) The dividend rate on callable preferred stock is lower than that of non-callable preferred stock. (C) It allows the issuer to issue preferred stock with a lower fixed dividend after the call date.

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