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FINRA General Securities Representative Examination (GS) Sample Questions:

1. Initial margin deposit minimum requirements are set by the:

A) FDIC
B) NYSE
C) FINRA
D) FRB

2. Bubba opens a new account with a broker/dealer and asks for a copy of the firm's financial statement. If
the firm has not been subject to a formal audit by an independent public accountant for quite some time,
what should it do in response to the request?

A) delay sending a statement until Bubba has had an account with the firm for at least six months
B) refuse to provide a financial statement
C) give Bubba its latest available statement
D) wait until after the next audit is completed before providing a statement to Bubba

3. Which of the following receives the highest priority of a municipal bond trustee when applying income and
revenue derived from a financed toll facility?

A) bond service account fund
B) reserve maintenance fund
C) operation and maintenance fund
D) renewal and replacement fund

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

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

5. Distribution from an IRA can begin at age 591/2 and must begin by age:

A) whenever the individual is retired
B) 68
C) 65
D) 701/2

Solutions: