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NO.1 When a corporation dissolves, who gets paid first?
A. the tax collector
B. bank lenders
C. the lawyer
D. senior bond holders
Answer: A

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Explanation: the tax collector. Taxes always have preference over any other creditors.

NO.2 In the offering of new securities, members of the syndicate are permitted to sell to other
dealers less the
reallowance. The amount of the reallowance is determined by:
A. the SEC
B. the FINRA
C. the issuing corporation
D. the syndicate manager
Answer: D

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Explanation: the syndicate manager. The reallowance as well as the selling concession given to selling
group members are determined by the managing underwriters.

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Exam Code: Series7

Exam Name: General Securities Representative Examination (GS)

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Series7 Related Exams Total Q&A: 400 Questions and Answers

Last Update: 2017-03-09

Series7 Reliable Study Guide Files Detail: Series7 Related Exams

 

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