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FINRA General Securities Representative Qualification Examination (GS) Sample Questions (Q164-Q169):

NEW QUESTION # 164
A withdrawal from a Roth IRA may be a qualified distribution if the Roth IRA has been open for at least:

A. one year
B. 90 days
C. 5 years
D. 2 years

Answer: C

Explanation:
Explanation/Reference:
Explanation: five years. The five-year holding period begins on the first day of the year for which contributions were made.

NEW QUESTION # 165
In regard to discretionary accounts, which of the following statements is correct?

A. the customer must grant written authorization to the member firm to exercise discretion in the account
B. both B and C
C. the account must be accepted in writing by an officer of the member firm
D. the customer must approve each transaction in writing before the order is entered

Answer: B

Explanation:
both B and C. Choice A is the opposite of a discretionary account. Both B and C are standard procedures for a discretionary account.

NEW QUESTION # 166
In a best efforts distribution of a new non-exempt issue, a broker/dealer:

A. agrees to buy the issue at a specified price
B. acts as an agent for the issuer
C. is not required to use an offering circular or prospectus
D. may allow a selling concession to a bank or trust company

Answer: B

Explanation:
acts as an agent for the issuer. In a best efforts offering the investment banker acts as an agent for the issuer and makes no guarantee about selling the securities.

NEW QUESTION # 167
If a customer dies, the registered representative is required to:

A. cancel all open (good 'til cancelled) orders
B. sell out the account
C. await instructions and necessary papers from the executor of the estate
D. both A and B

Answer: D

Explanation:
both A and B. These describe the activities a registered representative should undertake when a customer dies.

NEW QUESTION # 168
A leveraged company is best described as one that has a small portion of its capitalization represented by:

A. debentures
B. convertible bonds
C. preferred stock
D. common stock

Answer: D

Explanation:
common stock. Leverage refers to the existence of securities that are senior to common stock. There can be debt leverage and equity leverage.

NEW QUESTION # 169
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