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Series 7 General Securities Representative Exam - Reviews

Based on 125 reviews


"The questions in the practice tests were very similar to what was on the actual FINRA Series 65 exam. I liked that you could take a timed test or take a test at my own pace with the ability to review the answers as I go. That really helped me to focus on where I needed to spend mor time studying. Thanks for putting together such a user friendly program."

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See why our users from 154 countries love us for their exam prep! Including 125 reviews for the Series 7 Stockbroker exam.

Exam Edge is an industry leader in online test prep. We work with institutional partners to offer a wide array of practice tests that will help you prepare for your big exam. No matter how niche your field of interest might be, we're here to help you prepare for test day.

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Series 7 General Securities Representative Exam - Test Reviews Sample Questions

What are book-entry securities?

Correct Answer:
investments whose ownership is recorded electronically

book-entry securities refer to a method of recording asset ownership wherein all details are electronically recorded and no physical certificates are issued. this system is commonly used nowadays for the management of stocks and bonds. by eliminating the issuance of physical certificates, book-entry securities simplify the process of trading and holding securities, making transactions more efficient and less susceptible to loss or forgery of certificates.

the ownership and transfer of book-entry securities occur entirely through electronic systems maintained by financial institutions such as banks and brokerage firms. when these securities are bought or sold, the transaction is recorded as an accounting entry in the investor’s account. this digital record-keeping method contrasts significantly with older practices where securities were manually recorded and physical certificates were exchanged to signify ownership.

the shift to book-entry securities has been driven by several advantages. firstly, it reduces the administrative burden and cost associated with printing, handling, and storing physical certificates. secondly, it minimizes the risk of theft, loss, or damage of physical certificates. thirdly, electronic recording enhances the speed and accuracy of transactions, allowing for real-time updates and quicker settlement processes. this efficiency is crucial in today’s fast-paced financial markets.

additionally, book-entry securities facilitate easier management and tracking of securities for both investors and institutions. investors can access up-to-date information on their holdings and transactions through online platforms provided by financial institutions. this transparency helps in better portfolio management and decision-making.

in summary, book-entry securities represent a modern approach to managing financial assets where all transactions and ownership details are electronically recorded. this system offers significant improvements over traditional methods, including enhanced security, reduced costs, and greater transactional efficiency, aligning with the needs of contemporary financial markets.

Common stock with a strong potential for improving profits is a

Correct Answer:
growth stock

when considering common stock with a strong potential for improving profits, it is crucial to understand the different types of stocks available in the market and how they are characterized. one of the key terms in this context is "growth stock." growth stocks are shares in companies whose earnings are expected to grow at an above-average rate compared to other companies in the market.

growth stocks typically do not pay high dividends; instead, these companies prefer to reinvest their earnings to accelerate growth in the short term. investors who buy growth stocks expect to earn money through capital gains when they sell their shares in the future, rather than from dividend payouts. the potential for significant price appreciation is what makes growth stocks attractive to investors looking for higher returns on their investments.

the distinction between different types of stocks, such as blue-chip stocks, income stocks, and emerging growth industry stocks, is important. blue-chip stocks represent well-established companies with stable earnings and regular dividends, making them less volatile and typically safer than growth stocks. on the other hand, income stocks are those that provide consistent dividend returns to shareholders, which is ideal for those seeking regular income from their investments.

emerging growth industry stocks belong to sectors or industries that are in their early stages of development but show potential for rapid growth. while they share some characteristics with growth stocks, especially in terms of earning potentials, they are often riskier due to their nascent stage in the market.

in conclusion, when the question asks about common stock with a strong potential for improving profits, the correct categorization would be "growth stock." this is because growth stocks are specifically recognized for their potential in rapidly increasing profits and earnings, outpacing the general market and economic growth rates. these stocks represent companies poised for expansion and significant performance improvements, offering opportunities for substantial capital gains to investors.