By Steven M. Rice

1,001 possibilities to perform for the sequence 7 Exam

This entire examine advisor takes you past the guideline provided in Series 7 examination For Dummies, by means of supplying you with extra perform and overview of the most important techniques coated within the examination. in case you are prepping to take this severe six-hour examination, 1,001 sequence 7 examination perform Questions For Dummies covers shares, municipal and company bonds, and options—plus principles for buying clients and dealing with money owed and every little thing else you could anticipate to come across on examination day!

This books promises 1,001 perform possibilities to organize for the sequence 7 examination, every one query defined by means of supplying an in depth, step by step solution.

If you are an aspiring monetary specialist, you will find the entire perform and useful information you must succeed!

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You should recommend (A) straight preferred stock (B) callable preferred stock (C) cumulative preferred stock (D) convertible preferred stock 105–108 American Depositary Receipts 105. S. S. S. S. S. and overseas 106. S. S. S. investors to invest overseas 107. S. S. dollars 108. Holders of American depositary receipts assume which of the following risks? liquidity risk foreign currency risk market risk political risk (A) I, III, and IV (B) II, III, and IV (C) I, II, and III (D) II and III 109–118 Rights and Warrants 109.

50% 5% $5 $50 (A) I and III (B) I and IV (C) II and III (D) II and IV 137. One of your clients purchased a 4% ABC convertible bond yielding 5% and convertible at $50. If your client holds the bond until maturity, how much will she receive? (A) $1,000 (B) $1,020 (C) $1,025 (D) $1,050 138. An investor purchases a bond with a 6% coupon. The bond is callable in ten years at par. The maturity of the bond is 15 years. If the bond is purchased at 102, which of the following is TRUE? (A) The yield to maturity is higher than the yield to call.

The rating the coupon rate the maturity call features (A) I and II (B) I, II, and III (C) II, III, and IV (D) I, II, III, and IV 142. A corporate bond indenture would include which of the following? the nominal yield the rating any collateral backing the bond the yield to maturity (A) I and II (B) I and III (C) I, III, and IV (D) III and IV 143. Which of the following best describes the call premium for debt securities? (A) the amount that investors paid above par value to purchase the bond in the primary market (B) the amount that investors paid above par value to purchase the bond in the secondary market (C) the amount that investors must pay to the issuer for having the bond called early (D) the amount that the issuer must pay to investors for calling its bonds early 144.

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