Free SERIES 7 Exam Braindumps (page: 38)

Page 37 of 101

The Securities Act of 1933 provides for:

  1. extension of credit in the securities industry
  2. establishment of the Securities and Exchange Commission
  3. regulation of new issues of securities
  4. all of the above

Answer(s): C

Explanation:

regulation of new issues of securities. The first two choices are covered in the Securities and Exchange Act of 1934.



The gross spread in a new issue depends upon which of the following?

  1. the amount of the issue
  2. the type of industry in which the issuer is engaged
  3. the past record of the issuing corporation
  4. all of the above

Answer(s): D

Explanation:

all of the above. The gross spread (or “underwriting spread”) depends upon all of these factors.



Bubba Corporation has a registered public offering of 500,000 shares at $36. Of these, 300,000 shares were authorized by unissued and 200,000 shares were sold on behalf of an affiliated person.

What is evident from this information?

  1. the entire proceeds of the offering are a primary offering accruing to the corporation
  2. 300,000 shares are identified as a primary distribution
  3. 60% of the proceeds are paid to the corporation and the balance accrues to the affiliated person
  4. both B and C

Answer(s): D

Explanation:

both B and C. The 200,000 shares are sold on behalf of the affiliated person so the proceeds go to that individual. Only the other 300,000 shares are a primary offering.



Which of the following is not provided for by Blue Sky laws?

  1. registration of representatives
  2. registration of securities offered in the state
  3. interstate mail fraud in securities offerings
  4. registration of securities dealers

Answer(s): C

Explanation:

interstate mail fraud in securities offerings. Blue Sky laws are state security laws and do not cover interstate regulations.






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