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FINRA General Securities Representative Examination (GS) Sample Questions:

1. How many days after the settlement date must a broker/dealer "buy in" a customer who has failed to
deliver securities?

A) 15 days
B) 30 days
C) 10 days
D) 45 days

2. Which of the following have a stated interest rate on the face of the certificates?

A) both B and C
B) treasury bills
C) treasury notes
D) treasury bonds

3. Which of the following is not true about US treasury bills?

A) they are issued in denominations of $1,000 to $1,000,000
B) they are general obligations of the US government
C) they are issued at a discount
D) they are money market instruments

4. Which of the following pairs of corporation characteristics are easiest for a partnership to avoid?

A) business objective and centralized management
B) continuity of life of the business and limited liability
C) continuity of life of the business and transferability of assets
D) two or more associates and free transferability of assets

5. Bubba Corporation has a profit sharing plan. The company president, Bubba, is receiving the maximum
plan contribution amount. The corporation has one other employee, who is eligible for the plan. If this
person earns $12,000 per year, how much must be deposited in the plan for the employee?

A) $6,000
B) $12,000
C) $3,000
D) $1,800

Solutions: