Kaplan Series 7 General Securities Representative Exam License Exam Manual (7th Edition)

By Kaplan

Brief, concentrated paragraphs with quite a few snap shots and workouts aid scholars examine speedier and continue serious details for the sequence 7 FINRA examination

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TANs, RANs, and BANs are issued through municipalities looking A. temporary financing B. designated tax tests for move bonds C. bond assurance D. financing for reasonably cheap housing 32. A municipal securities consultant intends to offer $50 crystal vases to ten of his favourite consumers. in accordance with MSRB principles, it is a. now not accepted as the consultant isn't allowed to provide presents to shoppers B. now not authorised as the mixture volume exceeds the permissible annual restrict C. authorised D. basically accepted with written permission from the MSRB 33. A financial institution doing which of the subsequent actions needs to check in as a municipal securities broker? I. Underwriting municipal securities II. paying for or promoting municipal securities for purchasers III. delivering advisory providers to a municipal provider IV. delivering funding study concerning municipal securities to public traders A. B. C. D. sequence 7 LEM. indb 169 I simply I and II I, II and III I, II, III and IV 34. Which of the subsequent will be thought of in interpreting the credits of a profit bond factor? I. in step with capita debt II. Debt carrier assurance III. administration IV. Debt to assessed valuation A. I and II B. I and IV C. II and III D. II, III and IV 35. A criminal opinion evaluates which of the subsequent positive aspects of a municipal factor? I. Marketability II. Legality III. Tax-exempt prestige IV. financial feasibility A. I and II B. II and III C. III and IV D. I, II, III and IV 36. The curiosity from which of the subsequent bonds will be incorporated within the substitute minimal tax calculation? A. normal legal responsibility bonds B. business improvement profit bonds C. TANs D. targeted review bonds 37. in keeping with MSRB principles, which of the next actions might be engaged in via a municipal securities consultant throughout the 90-day interval following the beginning of his employment? I. Discussing the sale of municipal securities with person buyers II. Discussing the sale of municipal securities with institutional consumers III. Discussing the sale of municipal securities with different municipal securities buyers A. I and II B. I, II and III C. II and III D. III merely 3/7/2011 9:16:28 AM 170 Unit three  Municipal Securities 38. public sale cost Securities (ARS) are linked to I. US govt securities II. Dutch auctions III. reset premiums IV. being noncallable A. I and III B. I and IV C. II and III D. III and IV forty. A bond that could be a common legal responsibility, is secured through advert valorem taxes, and has particular pledged sales underlying money of valuable curiosity is really a. an ethical legal responsibility bond B. a double-barreled bond C. a dual-backing bond D. a unique review bond 39. set up the subsequent bonds so as of protection, from most secure to so much speculative. I. AA rated limitless tax basic legal responsibility II. PHA III. IDR IV. AAA rated profit bond A. I, IV, II, III B. II, I, IV, III C. II, IV, I, III D. IV, I, II, III sequence 7 LEM. indb a hundred and seventy 3/7/2011 9:16:28 AM Unit three  Municipal Securities A nswers and R ationales 1. C. the decision top class represents the adaptation among the decision fee and par.

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