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FINRA General Securities Representative Examination (GS) Sample Questions:

1. In a triple net lease, which of the following is the tenant not responsible for paying?

A) insurance premiums
B) maintenance
C) financing charges
D) taxes

2. Customers who engage in increased activity of wiring money from their account could indicate which of
the following activities?

A) Money laundering
B) Interpositioning
C) Crossing
D) Churning

3. Feasibility studies and engineering surveys are most necessary prior to which of the following new
offerings?

A) limited tax bonds
B) revenue bonds
C) corporate debentures
D) general obligation bonds

4. Most publicly owned securities are:

A) unregistered
B) over-the-counter
C) exempt from SEC registration requirements
D) listed

5. Which of the information below does not appear in the official notice of sale?

A) the method and place of settlement
B) the amount of required good faith check
C) the type of bond
D) the names of underwriting syndicate members

Solutions: